David Herman is a registered investment advisor, based in Sacramento, CA, with 31 years of industry experience.
Location
Sacramento, CA
Get directionsHistory
Regulatory History
Clean regulatory record
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 Activities
David is the Chief Compliance Officer of Cypress Point Financial Advisors, LLC, a registered investment advisor. He dedicates nearly full-time hours to this role, managing client investment assets under Cypress.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
November 2013 - Present · 12 yrs 6 mos
Cypress Point Financial Advisors
November 2013 - Present · 12 yrs 6 mos
Previous Registrations
LPL Financial LLC
June 2004 - October 2013 · 9 yrs 4 mos
LPL Financial LLCBroker
June 2004 - October 2013 · 9 yrs 4 mos
VALIC Financial Advisors, INC.
July 2003 - June 2004 · 11 mos
VALIC Financial Advisors, INC.Broker
January 1999 - June 2004 · 5 yrs 5 mos
The Variable Annuity Marketing CompanyBroker
October 1994 - December 2001 · 7 yrs 2 mos
State Registrations3 states
CAIDPA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.