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SH

Seth D. Herring

MCDERMOTT INVESTMENT SERVICES
Bethlehem, PA 18018
Some features on this profile are disabled
CRD#: 7424693
SH

Professional summary

Seth Daniel Herring, who also goes by Seth Herring, is a registered financial professional currently at MCDERMOTT INVESTMENT SERVICES, LLC located in Bethlehem, Pennsylvania.

Seth is registered as a RR (Registered Representative) and started their career in finance in 2024. Seth has worked at 2 firms and has passed the Series 65, Series 63, Series 22TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Seth 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.
Real Estate Investments, DBA Aspen Real Estate Capital; Park City, UT; Investment-Related; Since August 2019; Owner; Duties include acquisition, underwriting, equity or debt raising, and asset management and others; Devote up to 30 hours per week.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Seth Daniel Herring'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

August 24, 2021 - Present

MCDERMOTT INVESTMENT SERVICES, LLC

Office #1: 44 East Broad Street 2nd Floor, Bethlehem, PA 18018Office #2: 900 Broad Ave South Suite 2c, Naples, FL 34102
BD
CRD#: 154926
Bethlehem, PA
Past

October 8, 2024 - January 22, 2025

ONESEVEN

RIA
CRD#: 283087
Park City, UT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

RR
California
(8/24/2021)
RR
New Jersey
(6/2/2025)
RR
New York
(4/21/2025)
RR
Ohio
(6/23/2022)
RR
Utah
(8/24/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/3/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 8/24/2021
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/4/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MI
MCDERMOTT INVESTMENT SERVICES, LLC
MCDERMOTT INVESTMENT SERVICES, LLC

CRD#: 154926 / SEC#: , 8-68683

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
900 Broad Ave South Suite 2c, Naples, FL 34102
Mailing Address
P.o. Box 1784, Naples, FL 34106
Phone number
(610) 882-1460
Established
Pennsylvania since 07/21/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MCDERMOTT, DEAN PATRICKMANAGING MEMBER, CHIEF COMPLIANCE OFFICER1731834
CITO, JOHN PHILIPMANAGING DIRECTOR724521
RIP, OLGACHIEF FINANCIAL OFFICER/FINOP5440553

Disclosures

Civil Event1

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.

Company Information

MCDERMOTT INVESTMENT SERVICES, LLC

CRD#: 154926Bethlehem, PA 18018

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