Lynette Herd
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.
Lynette Herd, who also goes by Lynette Burke, was a registered financial professional .
Lynette is a previously registered financial professional and started their career in finance in 1975. Lynette had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2020 - October 4, 2021
THURSTON SPRINGER ADVISORS
October 14, 1998 - November 23, 2020
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
January 6, 1981 - October 4, 2021
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
May 17, 1976 - November 20, 1980
JESUP & LAMONT SECURITIES CO., INC.
November 24, 1975 - May 29, 1976
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
THURSTON SPRINGER ADVISORS
CRD#: 299201 / SEC#: 801-114256
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 40
Date: 2/11/1977
Registered Principal ExaminationCurrent Firm
THURSTON SPRINGER ADVISORS
CRD#: 299201 / SEC#: 801-114256
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,759 |
| AUM (Assets Under Management) | $ 3,675,305,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 02/28/2024 |
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.
