Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Herbert? Claim Your ProfileHerbert Pease is a financial advisor at Mariner Wealth with over 10 years of experience in the industry. Herbert holds the Series 6, 7, 9, 10, 63, and 65 licenses, and is a Certified Financial Planner. Herbert has previously worked at HSBC Securities, Charles Schwab & Co., Inc., and J.P. Morgan Securities LLC.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Family office services
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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CA
07/28/2022 - Present
Mariner Wealth (Walnut Creek CA)
CA
08/09/2019 - 08/13/2020
HSBC SECURITIES (USA) INC. (Concord CA)
CA
04/02/2013 - 08/01/2019
CHARLES SCHWAB & CO., INC. (Oakland CA)
CA
10/01/2012 - 03/07/2013
J.P. MORGAN SECURITIES LLC (WALNUT CREEK CA)
CA
05/14/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN FRANCISCO CA)
IA
Issued 12/17/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/22/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/04/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/2013
Series 7 - General Securities Representative Examination
BC
Issued 05/11/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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