Michael A. Herbert

THIRD VIEW PRIVATE WEALTH

WESTPORT, CT 06880

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CRD#: 7041595

Professional summary

Michael Alexander Herbert is a registered financial advisor currently at THIRD VIEW PRIVATE WEALTH located in Westport, Connecticut.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Michael has worked at 3 firms and has passed the Series 65, Series 7TO and SIE 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.

Insurance Sales; Implemented through the individual; Same address; Investment Related; Appx 10% of time during the month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alexander Herbert's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 3, 2025 - Present

THIRD VIEW PRIVATE WEALTH

Office #1: 55 Post Road West 1st Floor, Westport, CT 06880

RIA

CRD#: 335591

WESTPORT, CT

Past

October 28, 2022 - May 21, 2025

PROCYON

RIA

CRD#: 288239

SHELTON, CT

Past

September 5, 2020 - December 8, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

SHELTON, CT

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".

THIRD VIEW PRIVATE WEALTH

THIRD VIEW PRIVATE WEALTH | THIRD VIEW PRIVATE WEALTH, LLC

CRD#: 335591 / SEC#: 801-132770

RIA

Registered Investment Advisory firm - (5/19/2025 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/28/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/4/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/22/2020

Securities Industry Essentials Examination

Current Firm

THIRD VIEW PRIVATE WEALTH

THIRD VIEW PRIVATE WEALTH | THIRD VIEW PRIVATE WEALTH, LLC

CRD#: 335591 / SEC#: 801-132770

RIA

Registered Investment Advisory firm - (5/19/2025 Approved)

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Contact information

Main Address

55 Post Road West 1st Floor, Westport, CT 06880

Mailing Address

1771 Post Road East Pmb #118, Westport, CT 06880

Phone number

(860) 759-0650

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TVPW ADV 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts	2,096
AUM (Assets Under Management)	$ 1,054,256,330

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.

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Michael A. Herbert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alexander Herbert's CRS (Customer Relationship Summary).

Certified licenses

Experience

THIRD VIEW PRIVATE WEALTH

PROCYON

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

THIRD VIEW PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2022

Series 7TO

Date: 9/4/2020

SIE

Date: 5/22/2020

Current Firm

THIRD VIEW PRIVATE WEALTH

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THIRD VIEW PRIVATE WEALTH

TRUST BUT VERIFY

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