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CRAIG HERBERT
HOWARD HERBERT
CRD#: 1968586
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 2425 UNIVERSITY DRIVE
CORAL SPRINGS, FL 33065
CETERA INVESTMENT SERVICES LLCCRD#: 15340 2425 NORTH UNIVERSITY DRIVE
CORAL SPRINGS, FL 33065
Registration History
19952000200520102015202020252 FIRMS2000 - 2011 (10 years)2 FIRMS2012 - 2013 (<1 year)2 FIRMS2019 - Present (5 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - 2019 (6 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1999 - 2000 (1 year)BCIBC OPPENHEIMER CORP. (CRD# 630)1998 - 1999 (<1 year)BNORTHEAST SECURITIES, INC. (CRD# 25996)1998 - 1998 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1996 - 1998 (2 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 1996 (2 years)BJOSEPHTHAL LYON & ROSS INCORPO... (CRD# 3227)1992 - 1993 (1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1991 - 1991 (<1 year)IASINGER WEALTH ADVISORS INC. (CRD# 170470)2019 - 2019 (<1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - 2019 (5 years)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - 2014 (<1 year)
Disclosure(s)
View By:
6/12/2009
Customer Dispute
Award / Judgment
8/1/2008
Customer Dispute
Settled
5/2/2008
Customer Dispute
Settled
8/16/2005
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 10/22/2019

B
Illinois 5/3/2021

B
Arkansas 3/27/2023

B
Indiana 12/17/2020

B
California 3/23/2023

B
Nevada 10/20/2020

B
Colorado 9/16/2024

B
New York 10/9/2020

B
Connecticut 4/14/2022

B
North Carolina 10/14/2021

B
Florida 10/11/2019

B
Oklahoma 3/30/2023

IA
Florida 11/21/2019

B
Texas 11/10/2019

B
Georgia 5/15/2020

IA
Texas 1/12/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
2425 UNIVERSITY DRIVE, CORAL SPRINGS, FL 33065
Registered with this firm since 11/21/2019

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
2425 NORTH UNIVERSITY DRIVE, CORAL SPRINGS, FL 33065
Registered with this firm since 10/10/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/07/2019 - 10/18/2019 SINGER WEALTH ADVISORS INC. (CRD#:170470) BOCA RATON, FL
IA
02/11/2014 - 07/15/2019 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) CORAL SPRINGS, FL
B
01/23/2013 - 07/15/2019 CETERA INVESTMENT SERVICES LLC (CRD#:15340) CORAL SPRINGS, FL
IA
02/04/2013 - 01/29/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) CORAL SPRINGS, FL
IA
04/23/2012 - 01/22/2013 LEGEND ADVISORY CORP (CRD#:104761) BOYNTON BEACH, FL
B
04/04/2012 - 01/22/2013 LEGEND EQUITIES CORPORATION (CRD#:30999) BOYNTON BEACH, FL
IA
10/01/2000 - 04/05/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) FORT LAUDERDALE, FL
B
10/01/2000 - 04/05/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) FORT LAUDERDALE, FL
B
02/09/1999 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
12/08/1998 - 01/13/1999 CIBC OPPENHEIMER CORP. (CRD#:630) NEW YORK, NY
B
06/22/1998 - 10/27/1998 NORTHEAST SECURITIES, INC. (CRD#:25996) MITCHELFIELD, NY
B
04/22/1996 - 06/24/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
09/01/1993 - 04/26/1996 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
03/04/1992 - 08/17/1993 JOSEPHTHAL LYON & ROSS INCORPORATED (CRD#:3227) NEW YORK, NY
B
02/06/1991 - 04/23/1991 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.