Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jack? Claim Your ProfileJack Herling is a financial advisor with over 25 years of experience in the industry. Jack is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Jack has a broad range of experience in the financial services industry. Jack has held positions at Morgan Stanley, Morgan Stanley DW Inc., First Albany Capital Inc., J.P. Morgan Securities Inc., and The Dreyfus Service Corporation. Jack holds the Series 31, Series 55, Series 57TO, and Series 6 licenses. Jack provides a variety of services to individuals, businesses, and institutions, including investment management, financial planning, and retirement planning. Jack is committed to helping clients achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
07/08/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
04/02/2007 - 06/18/2007
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
06/08/2005 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
08/06/2004 - 01/24/2005
FIRST ALBANY CAPITAL INC. (NEW YORK NY)
NY
05/20/1999 - 12/11/2000
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
02/21/1992 - 05/26/1999
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
BOTH
Issued 06/21/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/17/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/27/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/05/2004
Series 7 - General Securities Representative Examination
BC
Issued 02/19/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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