Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Claudia? Claim Your ProfileClaudia Herrick is a financial advisor registered with J.P. Morgan Securities LLC. Claudia has been in the industry since April 2012 and is currently licensed to provide financial advice in Kentucky, Indiana, Ohio, Alabama, Mississippi, Maine, North Dakota, Massachusetts, Georgia, California, New York and Florida. Claudia previously held positions with Chase Investment Services Corp. and Banc One Securities Corporation.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
KY
01/21/2022 - Present
J.p. Morgan Securities LLC (LOUISVILLE KY)
KY
07/06/2005 - 01/04/2007
CHASE INVESTMENT SERVICES CORP. (LOUISVILLE KY)
IL
02/20/2004 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 9/13/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/9/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/21/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/24/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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