JH
Johnny Herring
Some features on this profile are disabled
CRD#: 7238692
JH
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.
Johnny Herring, who also goes by John Herring, Johnny Harrel Herring, was a registered financial professional .
Johnny is a previously registered financial professional and started their career in finance in 2020. Johnny had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Herring | Johnny Harrel Herring
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.
JOHN HERRING LAND TRUST POSITION: Trustee NATURE: Manage Assets INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2016 ADDRESS: 1107 Verna Lane, Nixa MO 65714, United States DESCRIPTION: Manage assets of trust along with other trustee. REFUGE CHURCH OF NIXA POSITION: Lead Pastor NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 08/01/2012 ADDRESS: 220 N Massey Blvd, Nixa MO 65714, United States DESCRIPTION: In this role, which I started in August of 2012, I care for, minister to and teach the church while caring for the spiritual health of the people in the church. HERRING AIRBNB POSITION: Co-Owner with my Spouse NATURE: Accommodation, Hospitality and Food Service INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2020 ADDRESS: 1107 Verna Lane, Nixa MO 65714, United States DESCRIPTION: Clean basement guest suite between stays and answer questions for guests as needed. OASIS CHURCH OF CAMDEN POSITION: Finance Administrator NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 09/10/2016 ADDRESS: 2409 Mt Holly Rd SW, Camden AR 71701, United States DESCRIPTION: Oasis Church of Camden (2409 Mt Holly Rd SW, Camden, AR 71701). This is a Church/Charitable organization of which I am the Finance Administrator. In this role, which I started in September of 2019, I manage finances, pay bills, issue reports, help with budgeting details and other general finance administration. Approximately 12 hours a month are devoted to this role which primarily take place outside of trading hours. NIXA MINISTERIAL ALLIANCE POSITION: Treasurer since 2016. Board Member prior to this role. NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2013 ADDRESS: PO Box 1272, Nixa MO 65714, United States DESCRIPTION: Help organize and plan community events for Nixa that are led by the Ministerial Alliance. Additionally, I track income and manage expenses for the Alliance. Monthly Income and Expense reports are reviewed by all members of the Alliance. LEAST OF THESE POSITION: Advisory Board Member NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2016 ADDRESS: 1720 W James River Rd, Ozark MO 65721, United States DESCRIPTION: Serve alongside other advisory board members to help the board of directors with decisions and direction for this nonprofit. BMA CHURCH CAMP POSITION: Camp Board Member for the BMA Church Camp NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/18/2022 ADDRESS: 705 Budd Creek Rd, Greers Ferry AR 72067, United States DESCRIPTION: Serve on the Board to help provide direction and insight for the annual camp held by the Baptist Missionary Association at the Budd Creek Camp Grounds located in Greers Ferry, AR. This can include areas such as camp theme, costs to cover expenses, and other areas as it relates to providing guidance. CHURCH CONSULTANTS POSITION: Consultant NATURE: Administrative Support INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/27/2022 ADDRESS: 1107 Verna Lane, Nixa MO 65714, United States DESCRIPTION: Work with churches to identify strengths and weaknesses within their existing church structures and provide guidance and direction to assist in strengthening the overall internal systems and procedures on hand.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
February 16, 2021 - October 24, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
St. Louis, MO
Past
August 13, 2020 - October 24, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
St. Louis, MO
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".
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/13/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
751 Broad Street, Newark, NJ 07102-3777
Mailing Address
751 Broad Street, Newark, NJ 07102-3777
Phone number
(973) 802-6000
Established
New Jersey since 09/22/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
387
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
