Philip Herrera (CRD# 1762156) is an Investment Advisor Representative working at Avantax Advisory Services in Claremont, CA and has over 26 years of experience in the finance industry. Philip Herrera has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2513561
Householder Group Estate & Retirement Specialists
CRD# 1622075
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 5480138
Safeguard Investment Advisory Group, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Avantax Insurance Agency, LLC | Claremont, CA | Oct 2018 - Current | 5 |
| Avantax Investment Services, Inc. | Claremont, CA | Oct 2018 - Current | 5 |
| Avantax Advisory Services | Claremont, CA | Oct 2018 - Current | 5 |
| Herrera Financial Services | Claremont, CA | Aug 2008 - Current | 15 |
| Chavez & Herrera | Claremont, CA | Nov 1994 - Current | 29 |
| 1st Global Insurance Services | Claremont, CA | Jun 2007 - Oct 2018 | 11 |
| 1st Global Advisors, Inc. | Claremont, CA | Feb 2005 - Oct 2018 | 13 |
| 1st Global Capital Corp | Claremont, CA | Sep 2004 - Oct 2018 | 14 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 1998 |
| S65 | NASAA Investment Advisors Law Examination | Dec 1999 |
- CA
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Total Assets Under Management41,696MILLIONS
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Total Number of Accounts131,534ACCOUNTS
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Average Account Value$316,996
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
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