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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Alan Herman is a registered investment advisor representative at Scarborough Capital Management. David has been in the financial services industry for 28 years. David has a Series 6, Series 7, Series 31 and Series 63 and Series 65 licenses. David previously worked at SII Investments, Inc., Royal Alliance Associates, Inc., Morgan Stanley DW Inc., and T. Rowe Price Investment Services, Inc.. David has extensive experience working with high-net-worth individuals and individuals other than high-net-worth. Scarborough Capital Management provides financial planning, educational seminars, selection of other advisors, and portfolio management for individuals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
MD
01/08/2024 - Present
Scarborough Capital Management (ANNAPOLIS MD)
MD
12/19/2008 - 12/31/2017
SII INVESTMENTS, INC. (ANNAPOLIS MD)
MD
05/20/2003 - 12/23/2008
ROYAL ALLIANCE ASSOCIATES, INC. (ANNAPOLIS MD)
NY
02/08/2002 - 04/29/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
MD
03/01/1996 - 02/13/2002
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
IA
Issued 12/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/16/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 05/09/1997
Series 7 - General Securities Representative Examination
BC
Issued 02/29/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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