Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Herbert is a financial advisor with LPL Financial LLC. Richard has been in the financial industry since 1990. Richard is registered to provide investment advice in 51 states, the District of Columbia, and the Virgin Islands. Richard has also held previous positions at Waddell & Reed, New England Securities, MML Investors Services, Inc., and The Prudential Insurance Company of America. Richard has a wide range of experience and expertise in the financial industry and is committed to providing clients with personalized financial advice.
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.
Consulting and other non-discretionary advisory services
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.
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2
CO
01/08/2025 - Present
LPL Financial LLC (HIGHLANDS RANCH CO)
OK
03/18/2011 - 07/21/2021
WADDELL & REED (EDMOND OK)
CO
08/07/2007 - 03/11/2011
NEW ENGLAND SECURITIES (COLORADO SPRINGS CO)
CO
02/21/2006 - 08/20/2007
MML INVESTORS SERVICES, INC. (COLORADO SPRINGS CO)
NJ
05/07/1990 - 12/13/2005
PRUCO SECURITIES, LLC. (NEWARK NJ)
NJ
05/07/1990 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BOTH
Issued 09/19/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/03/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/2011
Series 24 - General Securities Principal Examination
BC
Issued 08/04/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 02/27/1997
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/23/1999
Series 7 - General Securities Representative Examination
BC
Issued 05/03/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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