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Michael Yves Heridia

Rubicon Investment Management & Analytics

Wimberley, TX

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Current Employers
Rubicon Investment Management & Analytics

Wimberley, TX • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2007-01-01
  • TX RA
    APPROVED
    Since 2007-01-01

Branch Locations

Wimberley, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Independent Insurance Sales San Antonia TX 12/1997 Present
Rubicon Investment Management & Analytics, Llc San Antonio TX 02/2015 Present
  • 12/1997 → Present
    Independent Insurance Sales
    San Antonia, TX
  • 02/2015 → Present
    Rubicon Investment Management & Analytics, Llc
    San Antonio, TX
Previous Registrations
  • 2006-04-06 → 2007-11-30
    Synergy Investment Group, Llc
    San Antonio, TX
    San Antonio, TX
  • 1997-12-18 → 2006-04-06
    Raymond James Financial Services, Inc.
    San Antonio, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-31
S63 Uniform Securities Agent State Law Examination 1988-09-21
  • S65 Uniform Investment Adviser Law Examination
    1999-12-31
  • S63 Uniform Securities Agent State Law Examination
    1988-09-21
Other Names
  • Michael Y Heridia

View on SEC IAPD

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