Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Herrick is a financial advisor with over 20 years of experience in the industry. Matthew is currently registered with Prospera Financial Services, Inc. Prior to joining Prospera, Matthew worked at Morgan Stanley and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Matthew holds the Series 6, 7, 63, and 66 securities licenses, as well as the SIE. Matthew is a licensed investment advisor in Arizona, California, Colorado, District of Columbia, Florida, Maryland, Michigan, Nevada, New York, Oregon, Texas, and Virginia. Matthew specializes in providing financial planning, portfolio management, and investment advisory services to individuals, families, businesses, and trusts. Matthew is committed to providing personalized financial advice and 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
Percentage of assets under review
1
2
CA
12/02/2021 - Present
Prospera Financial Services, Inc. (San Jose CA)
CA
06/15/2012 - 12/07/2021
MORGAN STANLEY (Menlo Park CA)
CA
02/04/2009 - 06/19/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
NY
03/30/1999 - 03/30/2004
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
09/28/1998 - 01/26/1999
INTERFIRST CAPITAL CORPORATION (LOS ANGELES CA)
CA
12/15/1997 - 06/29/1998
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
BOTH
Issued 02/24/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2009
Series 7 - General Securities Representative Examination
BC
Issued 12/10/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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