Carlos Herrera, financial advisor San Francisco CA

Carlos Herrera

CRD Number: 2353574
Current Firm: First Republic Investment Management, Inc.

Carlos Herrera (CRD# 2353574) is an Investment Advisor Representative working at First Republic Investment Management, Inc. in San Francisco, CA and has over 28 years of experience in the finance industry. Carlos 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.

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Professional Designations
Company Name Location Dates Years
First Republic Securities Company, LLC San Francisco, CA Feb 2020 - Current 1
First Republic Investment Management, Inc. San Francisco, CA Feb 2020 - Current 1
Bank Of America, N.a. San Francisco, CA Apr 2019 - Feb 2020 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco, CA Feb 2019 - Feb 2020 1
Unemployed San Francisco, CA Apr 2018 - Jan 2019 < 1
Harvest Capital Strategies San Francisco, CA Jan 2009 - Mar 2018 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1993
S66 NASAA Uniform Combined State Law Examination Jun 2019
Contact Info for Carlos F. Herrera
Phone Number: 415-392-1400
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    106,485
    MILLIONS
  • Total Number of Accounts
    53,915
    ACCOUNTS
  • Average Account Value
    $1,975,055
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • 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
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, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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