JH
Jaime Herrera
ALERA INVESTMENT ADVISORS
Deerfield, IL 60015-2567
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CRD#: 6439593
JH
Professional summary
Jaime Herrera is a registered financial advisor currently at ALERA INVESTMENT ADVISORS, LLC located in Deerfield, Illinois and OSAIC WEALTH, INC. located in Deerfield, Illinois.
Jaime is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jaime has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Alera Investment Advisors; investment related; Three Parkway North, Suite 500,Deerfield,IL 60015;RIA;sr. investment service coordinator;6/26/2023;160 hrs./month;6.5 hrs. during trading; investment service team member-administrative 2) Alera Group; investment related; Three Parkway North, Suite 500,Deerfield,IL 60015;corporation and parent company for the Alera affiliates ;sr. investment service coordinator;6/26/2023;160 hrs./month;6.5 hrs. during trading; investment service team coordinator-administrative 3) ALERA GROUP POSITION: Investment Service Coordinator NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/26/2023 ADDRESS: Three Parkway North, Ste 500, Deerfield IL 60015, United States DESCRIPTION: Registered Assistant of Alera Group
CRS (Client Relationship Summary) - RIA
Click below to view Jaime Herrera's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 28, 2023 - Present
ALERA INVESTMENT ADVISORS, LLC
Office #1: Three Parkway North Suite 500, Deerfield, IL 60015-2567RIA
CRD#: 287906
Deerfield, IL
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: Three Parkway North Suite 500, Deerfield, IL 60015RIA
BD
CRD#: 23131
Deerfield, IL
Past
July 21, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Deerfield, IL
Past
July 22, 2022 - June 14, 2023
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Chicago, IL
Past
March 5, 2021 - June 14, 2023
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
CHICAGO, IL
Past
March 3, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
CHICAGO, IL
Past
September 10, 2020 - October 14, 2020
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
OAK BROOK, IL
Past
April 9, 2020 - October 14, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
OAK BROOK, IL
Past
November 1, 2019 - January 14, 2020
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
Past
February 20, 2015 - September 11, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHICAGO, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
Registered Investment Advisory firm - (10/26/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Illinois(7/28/2023)
RR
Illinois(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/1/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
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Contact information
Main Address
Three Parkway North Suite 500, Deerfield, IL 60015-2567
Mailing Address
Phone number
(847) 457-3000
Established
Firm type
Fiscal year end
# of Employees
88
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,097 |
| AUM (Assets Under Management) | $ 3,572,112,624 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
