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Jose Herrera

Charles Schwab & Co., Inc.

Honolulu, HI

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2025-06-17
  • HI RA
    APPROVED
    Since 2025-06-17

Branch Locations

841 Bishop St Suite 145, Honolulu, HI 96813 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Usaa Financial Planning Services Phoenix AZ 04/2013 12/2020
Usaa Investment Services Company Phoenix AZ 01/2018 06/2021
Usaa Life Insurance Company Phoenix AZ 12/2020 06/2021
Usaa Invesment Services Company Phoenix AZ 05/2021 06/2021
Usaa Life Insurance Company Phoenix AZ 05/2023 05/2025
Unemployed Apo Ae XX 07/2021 05/2023
Usaa Investment Services Company Ponenix AZ 05/2023 05/2025
Charles Schwab & Co., Inc Honolulu HI 06/2025 Present
Charles Schwab Bank Ssb Honolulu HI 06/2025 Present
  • 04/2013 → 12/2020
    Usaa Financial Planning Services
    Phoenix, AZ
  • 01/2018 → 06/2021
    Usaa Investment Services Company
    Phoenix, AZ
  • 12/2020 → 06/2021
    Usaa Life Insurance Company
    Phoenix, AZ
  • 05/2021 → 06/2021
    Usaa Invesment Services Company
    Phoenix, AZ
  • 05/2023 → 05/2025
    Usaa Life Insurance Company
    Phoenix, AZ
  • 07/2021 → 05/2023
    Unemployed
    Apo Ae, XX
  • 05/2023 → 05/2025
    Usaa Investment Services Company
    Ponenix, AZ
  • 06/2025 → Present
    Charles Schwab & Co., Inc
    Honolulu, HI
  • 06/2025 → Present
    Charles Schwab Bank Ssb
    Honolulu, HI
Previous Registrations
Other Businesses

1) Jose Herrera|Investment Related:No|villa lindo dr;surprise;az;85387;usa|Real Estate (Non-Agent/Broker)|landlord|2025-05-30|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|maintain property done by property manager 2) Jose Herrera|Investment Related:No|w softwind dr;surprise;az;85387;usa|Real Estate (Non-Agent/Broker)|landlord|2024-12-17|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|maintain property done by property manger 3) Jose Herrera|Investment Related:No|177th dr;surprise;az;85388;usa|Real Estate (Non-Agent/Broker)|landlord|2023-11-14|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|maintain property done by property manager 4) Jose Herrera|Investment Related:No|171st. Dr. ;Surprise ;AZ;85388;USA|Real Estate (Non-Agent/Broker)|landlord|2023-10-01|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|maintain property done by property manager

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-02
S63 Uniform Securities Agent State Law Examination 2013-01-07
  • S66 Uniform Combined State Law Examination
    2014-12-02
  • S63 Uniform Securities Agent State Law Examination
    2013-01-07
Other Names
  • Jose Herrera
  • Jose Herrera

View on SEC IAPD

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WEALTH ALIGNMENT PARTNERS, LLC
WELLS FARGO CLEARING SERVICES, LLC
DIVERSIFY ADVISORY SERVICES, LLC
CETERA INVESTMENT ADVISERS LLC
MML INVESTORS SERVICES, LLC
COMMONWEALTH FINANCIAL NETWORK
KINGSWOOD WEALTH ADVISORS, LLC

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Other Offices

REGENCY CAPITAL MANAGEMENT INC. · HONOLULU, HI
WEALTH ALIGNMENT PARTNERS, LLC · HONOLULU, HI
WELLS FARGO CLEARING SERVICES, LLC · HONOLULU, HI
DIVERSIFY ADVISORY SERVICES, LLC · Honolulu, HI
DIVERSIFY ADVISORY SERVICES, LLC · HONOLULU, HI
CETERA INVESTMENT ADVISERS LLC · HONOLULU, HI
MML INVESTORS SERVICES, LLC · HONOLULU, HI
COMMONWEALTH FINANCIAL NETWORK · Honolulu, HI

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