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JOHN STANLEY HERRING
JOHN S HERRING
CRD#: 2437926
IA
B
MORGAN STANLEYCRD#: 149777 4969 US Highway 42
Suite 1200
Louisville, KY 40222
Suite 1200
Louisville, KY 40222
0
Disclosures
31
Years of Experience
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State Registrations
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Alabama 4/29/2022
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Nebraska 2/20/2019
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Alaska 4/29/2022
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Nevada 2/20/2019
B
Arizona 3/10/2021
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New Hampshire 5/25/2022
B
Arkansas 2/20/2019
B
New Jersey 5/25/2022
B
California 10/15/2015
B
New Mexico 2/20/2019
B
Colorado 5/11/2022
B
New York 5/25/2022
B
Connecticut 5/11/2022
B
North Carolina 5/24/2013
B
Delaware 5/11/2022
B
North Dakota 2/20/2019
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District of Columbia 5/11/2022
B
Ohio 4/9/2013
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Florida 5/24/2013
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Oklahoma 5/25/2022
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Georgia 2/20/2019
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Oregon 5/25/2022
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Hawaii 5/25/2022
B
Pennsylvania 5/25/2022
B
Idaho 5/25/2022
B
Puerto Rico 2/20/2019
B
Illinois 2/20/2019
B
Rhode Island 2/20/2019
B
Indiana 12/9/2011
B
South Carolina 5/24/2013
B
Iowa 5/25/2022
B
South Dakota 2/20/2019
B
Kansas 5/25/2022
B
Tennessee 4/9/2013
B
Kentucky 12/9/2011
B
Texas 2/20/2019
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Kentucky 12/9/2011
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Texas 2/20/2020
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Louisiana 5/25/2022
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Utah 2/20/2019
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Maine 5/25/2022
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Vermont 5/25/2022
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Maryland 5/25/2022
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Virgin Islands 5/25/2022
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Massachusetts 3/11/2019
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Virginia 5/25/2022
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Michigan 5/25/2022
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Washington 2/20/2019
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Minnesota 2/20/2019
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West Virginia 12/9/2011
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Mississippi 2/20/2019
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Wisconsin 2/20/2019
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Missouri 11/2/2017
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Wyoming 5/25/2022
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Montana 6/15/2021
SRO Registrations
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IA
Registered with this firm since 12/9/2011
B
Registered with this firm since 12/9/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/04/2007 - 12/16/2011 | LOUISVILLE, KY | |
B | 09/27/1996 - 12/16/2011 | LOUISVILLE, KY | |
B | 03/08/1994 - 09/24/1996 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.