Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Herring is a financial advisor in Louisville, KY. John has been in the financial industry since 1994 and has held various roles, including working with UBS Financial Services Inc. and Merrill Lynch. John is registered with Morgan Stanley in both Kentucky and Texas and holds several professional licenses and certifications. In addition to his financial advising work, John is also a proprietor of a restaurant in Lagrange, Kentucky.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
KY
02/20/2020 - Present
Morgan Stanley (Louisville KY)
KY
09/27/1996 - 12/16/2011
UBS FINANCIAL SERVICES INC. (LOUISVILLE KY)
NY
03/08/1994 - 09/24/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 08/16/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/22/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/1998
Series 3 - National Commodity Futures Examination
BC
Issued 03/07/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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