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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Herrera is a financial advisor with Avantax Advisory Services. Philip has been in the financial industry since 1987. Philip is registered in California, Nevada, and North Carolina. Philip has passed the Series 6, Series 7, Series 22, Series 63 and Series 65 exams. Philip is a Certified Financial Planner. Philip provides financial planning, pension consulting, and educational seminars. Philip's firm, Avantax Advisory Services, offers financial planning, portfolio management for individuals and businesses, and other services.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
CA
10/19/2018 - Present
Avantax Advisory Services (Claremont CA)
CA
09/09/2004 - 10/23/2018
1ST GLOBAL CAPITAL CORP. (CLAREMONT CA)
TX
11/12/1987 - 10/01/2004
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
IA
Issued 12/14/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/13/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2004
Series 7 - General Securities Representative Examination
BC
Issued 02/04/1992
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 11/11/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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