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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-06-22 |
| NY | RA | APPROVED | 2022-06-06 |
Branch Locations
220 White Plains Road Suite 425, Tarrytown, NY 10591 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Herkert Financial Planning | Elmsford | NY | 11/2003 | 06/2022 |
| Kestra Investment Services, Llc. | Tarrytown | NY | 04/2016 | 06/2022 |
| Kestra Advisory Services, Llc. | Tarrytown | NY | 04/2016 | 06/2022 |
| Westchester Financial Advisors | Tarrytown | NY | 11/2003 | Present |
| Commonwealth Financial Network | Waltham | MA | 06/2022 | Present |
| Herkert Advisors, Llc | Closter | NJ | 06/2022 | Present |
1. Fixed insurance sales; as of 4/27/2016; 1% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner & Partner, BHB Advisors, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 4/18/2016; 2% of time spent during business hours; Conducted at branch; Investment related. 3. Co-owner, Berkowitz, Herkert & Associates, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 11/10/2003; 1% of time spent during business hours; Conducted at branch; Investment related. 4. Owner, Herkert Advisors, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 10/01/2021; 1% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-08 |
| S63 | Uniform Securities Agent State Law Examination | 1989-02-17 |
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