Galen R. Herrington

HERRINGTON WEALTH MANAGEMENT

FRISCO, TX 75034

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CRD#: 7622175

Professional summary

Galen Rue Herrington is a registered financial advisor currently at HERRINGTON WEALTH MANAGEMENT CORPORATION located in Frisco, Texas.

Galen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Galen has worked at 1 firm and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Galen Rue Herrington'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®

None

Experience

Current

September 7, 2022 - Present

HERRINGTON WEALTH MANAGEMENT CORPORATION

Office #1: 6160 Warren Pkwy Suite 100, Frisco, TX 75034

RIA

CRD#: 305202

FRISCO, TX

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

Texas
(9/7/2022)

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: 8/20/2022

Uniform Investment Adviser Law Examination

Current Firm

HERRINGTON WEALTH MANAGEMENT CORPORATION

CRD#: 305202 / SEC#:

Texas

Registered Investment Advisory firm - (9/3/2019 Approved)

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Contact information

Main Address

6160 Warren Pkwy Suite 100, Frisco, TX 75034

Mailing Address

Phone number

(214) 509-8724

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	164
AUM (Assets Under Management)	$ 32,014,629

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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Galen R. Herrington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Galen Rue Herrington's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERRINGTON WEALTH MANAGEMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/2022

Current Firm

HERRINGTON WEALTH MANAGEMENT CORPORATION

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HERRINGTON WEALTH MANAGEMENT CORPORATION

TRUST BUT VERIFY

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