Adolfo HerreraCRD Number: 5500912
Current Firm: U.s. Bancorp Investments, Inc.
Adolfo Herrera (CRD# 5500912) is an Investment Advisor Representative working at U.s. Bancorp Investments, Inc. in Richton Park, IL and has over 9 years of experience in the finance industry.
Woodbury Financial Services, Inc.
Capstone Financial Advisors Inc.
|U.s. Bancorp Investments, Inc.||Chicago, IL||Oct 2015 - Current||1|
|J.p. Morgan Securities LLC||Chicago, IL||Oct 2012 - Oct 2015||3|
|Jpmorgan Chase Bank Na||Berwyn, IL||Mar 2008 - Oct 2015||7|
|Chase Investment Services Corp||Berwyn, IL||Mar 2008 - Oct 2012||4|
|Plaza Financial LLC||Chicago, IL||Sep 2004 - Mar 2008||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 2008|
|S66||NASAA Uniform Combined State Law Examination||Jul 2012|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management5,065MILLIONS
Total Number of Accounts24,670ACCOUNTS
Average Account Value$205,313
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
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