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RYAN CHRISTOPHER HERRERA
RYAN C HERRERA
CRD#: 5857180
IA
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STRATEGIC ADVISERS LLCCRD#: 104555 SAN FRANCISCO, CA
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 1995 UNIVERSITY AVE - STE 120
BERKELEY, CA 94704
BERKELEY, CA 94704
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Disclosures
14
Years of Experience
View By:
State Registrations
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Arizona 1/5/2018
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Minnesota 5/3/2024
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California 5/5/2016
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Nevada 5/5/2016
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California 3/31/2025
B
New Mexico 9/9/2022
B
Colorado 3/2/2021
B
New York 9/5/2024
B
District of Columbia 3/4/2022
B
North Carolina 9/25/2019
B
Florida 6/4/2021
B
Ohio 12/20/2019
B
Georgia 1/5/2018
B
Oregon 5/5/2016
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Hawaii 1/5/2018
B
Pennsylvania 7/21/2023
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Idaho 1/5/2018
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Tennessee 8/13/2021
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Illinois 1/5/2018
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Texas 1/5/2018
B
Maine 8/13/2021
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Texas 3/31/2025
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Maryland 8/24/2022
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Vermont 10/12/2018
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Massachusetts 9/25/2019
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Washington 1/5/2018
SRO Registrations
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Registered with this firm since 3/31/2025
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Registered with this firm since 5/5/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/13/2018 - 03/31/2025 | BERKELEY, CA | |
IA | 05/16/2016 - 07/13/2018 | BERKELEY, CA | |
IA | 04/22/2013 - 05/11/2016 | CORTE MADERA, CA | |
IA | 04/22/2013 - 05/11/2016 | CORTE MADERA, CA | |
B | 04/22/2013 - 05/11/2016 | CORTE MADERA, CA | |
IA | 11/02/2011 - 04/19/2013 | WALNUT CREEK, CA | |
B | 11/02/2011 - 04/19/2013 | WALNUT CREEK, CA | |
IA | 12/23/2010 - 10/25/2011 | BALTIMORE, MD | |
B | 12/01/2010 - 10/25/2011 | BALTIMORE, MD |
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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.