Brian Herriot

Current Employers

Herriot Financial, Llc

Alameda, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-01-03

CA RA
APPROVED

Since 2025-01-03

Branch Locations

Alameda, CA • 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

Organization	City	State	From	To
Herriot Financial, Llc	Alameda	CA	09/2024	Present
Herriot Business Consulting	Alameda	CA	04/2017	Present
Ucsf Health	San Francisco	CA	10/2014	03/2017

09/2024 → Present

Herriot Financial, Llc

Alameda, CA
04/2017 → Present

Herriot Business Consulting

Alameda, CA
10/2014 → 03/2017

Ucsf Health

San Francisco, CA

Other Businesses

Brian Herriot is currently the owner of and Business Consultant at Herriot Business Consulting. His duties include writing, speaking and consulting with business. This activity accounts for approximately 10% of their time (all of which occurs during trading hours), is not investment related, and this does not pose a conflict of interest. The address of Herriot Business Consulting is 2157 San Antonio Ave, Alameda, CA 94501. Herriot Consulting provides management consulting service for healthcare companies. Brian Herriot does Business consulting and account management for three-person firm.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-08-30

S65 Uniform Investment Adviser Law Examination

2024-08-30