David P. Herrera
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David P Herrera, who also goes by David P Herrera, David Herrera, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2018. David had worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 52 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2019 - December 18, 2020
MTS SECURITIES, LLC
August 23, 2018 - July 26, 2019
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 8/2/2019
Investment Banking Registered Representative ExaminationCurrent Firm
MTS SECURITIES, LLC
CRD#: 104059 / SEC#: , 8-52515
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
