Adolfo Herrera, financial advisor Richton Park IL
81 score

Adolfo Herrera

CRD 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 8 years of experience in the finance industry.

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Company Name Location Dates Years
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Adolfo A. Herrera
Phone Number: 800-888-4700
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    5,065
    MILLIONS
  • Total Number of Accounts
    24,670
    ACCOUNTS
  • Average Account Value
    $205,313
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • 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)
Types of Clients
Registered States

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

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BADGES
81

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