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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ryan Herrick is a financial advisor currently registered with Fidelity Personal And Workplace Advisors. James has been in the industry since January 14, 2016 and is registered in 52 states and the District of Columbia as a Broker/Dealer and in two states, Kentucky and Texas, as an Investment Advisor Representative. James has passed both the Series 63 and the Series 66 exams and holds the Series 7 and SIE licenses. James also holds two designations and has a history of working with insurance companies, charitable organizations, high net worth individuals, pension and profit-sharing plans, corporations or other businesses, and individuals other than high net worth.
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.
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.
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
KY
12/10/2019 - Present
Fidelity Personal AND Workplace Advisors (COVINGTON KY)
BOTH
Issued 12/06/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/23/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/2016
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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