Individual Firm
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MATTHEW PAUL HERRICK
MATTHEW P HERRICK, MATTHEW HERRICK
CRD#: 2983392
IA
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PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 1960 The Alameda
Ste 20
San Jose, CA 95126
Ste 20
San Jose, CA 95126
0
Disclosures
21
Years of Experience
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State Registrations
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Arizona 12/2/2021
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Michigan 12/2/2021
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California 12/2/2021
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Nevada 2/22/2023
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California 12/2/2021
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New York 12/2/2021
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Colorado 12/2/2021
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Oregon 12/2/2021
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District of Columbia 8/22/2024
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Texas 12/2/2021
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Florida 12/2/2021
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Virginia 3/21/2022
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Maryland 2/22/2023
SRO Registrations
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Registered with this firm since 12/2/2021
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Registered with this firm since 12/2/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/18/2012 - 12/07/2021 | Menlo Park, CA | |
B | 06/15/2012 - 12/07/2021 | Menlo Park, CA | |
IA | 02/26/2009 - 06/19/2012 | SAN JOSE, CA | |
B | 02/04/2009 - 06/19/2012 | SAN JOSE, CA | |
B | 03/30/1999 - 03/30/2004 | NEW YORK, NY | |
B | 09/28/1998 - 01/26/1999 | LOS ANGELES, CA | |
B | 12/15/1997 - 06/29/1998 | SAN MATEO, CA |
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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.
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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.