Thomas Herkert (CRD# 1912375) is an Investment Advisor Representative working at Commonwealth Financial Network in Tarrytown, NY and has over 35 years of experience in the finance industry. Thomas Herkert 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# 4632189
Sarsi, LLC
CRD# 6381165
A.g.p / Alliance Global Partners
CRD# 2963357
Hsbc Securities (usa) Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Commonwealth Financial Network | Waltham, MA | Jun 2022 - Current | 1 |
| Herkert Advisors, LLC | Closter, NJ | Jun 2022 - Current | 1 |
| Westchester Financial Advisors | Tarrytown, NY | Nov 2003 - Current | 20 |
| Kestra Investment Services, LLC | Tarrytown, NY | Apr 2016 - Jun 2022 | 6 |
| Kestra Advisory Services, LLC | Tarrytown, NY | Apr 2016 - Jun 2022 | 6 |
| Herkert Financial Planning | Elmsford, NY | Nov 2003 - Jun 2022 | 18 |
| Nfp Securities Inc. | Elmsford, NY | Nov 2003 - Apr 2016 | 12 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Feb 1989 |
| S65 | NASAA Investment Advisors Law Examination | Nov 1995 |
- NJ
- NY
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Total Assets Under Management177,032MILLIONS
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Total Number of Accounts623,075ACCOUNTS
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Average Account Value$284,126
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- 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)
- Publication of periodicals or newsletters
- Educational seminars/workshops
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, VI, VT, WA, WI, WV, WY
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