Philip Herrera is a registered investment advisor, based in Claremont, CA, with 38 years of industry experience.
Location
237 W. Fourth Street, Claremont, CA, 91711
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Philip is an agent for Avantax Insurance Agency and/or Avantax Insurance Services, selling annuities and variable insurance products, dedicating about 10% of his time. He also owns rental property and two financial services businesses, spending minimal time on each.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
Cetera Investment Advisers LLC
Previous Registrations
Avantax Advisory Services
Avantax Investment Services, INC.Broker
1st Global Advisors INC
1st Global Capital CORP.Broker
H.D. Vest Advisory Services, INC
H.D. Vest Investment ServicesBroker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.