linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Brian Wayne Herman

Fidelity Brokerage Services LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Brian? Claim Your Profile

About Brian Wayne Herman

Brian Herman is a financial advisor with Fidelity Brokerage Services LLC based in WESTLAKE, TX. Brian has over 5 years of experience in the financial industry. Brian has successfully passed the Series 7, Series 63, Series 9, Series 10, Series 24, and SIE exams. Brian is registered to offer securities in Massachusetts, Texas, and Utah. Brian previously worked at Charles Schwab & Co., Inc., TD Ameritrade Clearing, Inc., and TD Ameritrade, Inc.

Firm Information

Brian Herman is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Brian Herman’s Registration & Firm History

TX

02/03/2022 - Present

Fidelity Brokerage Services LLC (WESTLAKE TX)

TX

11/22/2020 - 01/28/2022

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

TX

03/09/2020 - 12/31/2020

TD AMERITRADE CLEARING, INC. (Southlake TX)

TX

04/11/2018 - 12/31/2020

TD AMERITRADE, INC. (Southlake TX)

TX

04/06/2017 - 03/28/2018

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

Not sure if Brian Wayne Herman is right for you?

Licenses & Designations

BC

Issued 04/12/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/04/2022

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/07/2022

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 03/06/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/06/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There is public disclosure for Brian Wayne Herman. Review regulatory record here.
Not sure if Brian Wayne Herman is right for you?