Michele L Herzberg

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2025-11-21
AZ	RA	APPROVED	2023-03-27

Branch Locations

Chicago, IL • United States

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

Organization	City	State	From	To
Unemployed	Scottsdale	AZ	06/2016	11/2016
Lucia Capital Group	San Diego	CA	11/2016	03/2018
Apex	Phoenix	AZ	07/2018	06/2019
Usaa Investment Management Company	Phoenix	AZ	07/2018	06/2019
Usaa Financial Advisors Inc	Phoenix	AZ	07/2018	06/2019
Unemployed	Phoenix	AZ	03/2018	07/2018
Unemployed	Scottsdale	AZ	07/2019	03/2020
Bwm Advisory, Llc	Scottsdale	AZ	03/2020	11/2022
Bwm Advisory, Llc	Scottsdale	AZ	06/2020	11/2022
Bedrock Financial Services	Scottsdale	AZ	08/2019	06/2020
Raymond James & Associates, Inc	Chicago	IL	02/2023	Present
Unemployed	Scottsdale	AZ	11/2022	02/2023

2020-08-24 → 2022-11-28

Bedrock Investment Advisors

Scottsdale, AZ
2018-08-21 → 2019-07-17

Usaa Investment Services Company

Phoenix, AZ

Phoenix, AZ
2016-12-01 → 2018-03-19

Lucia Capital Group

Scottsdale, AZ
2016-02-02 → 2016-06-01

United Planners' Financial Services Of America A Limited Partner

Scottsdale, AZ
2013-11-19 → 2015-08-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

Chandler, AZ
2006-09-19 → 2013-01-23

Charles Schwab & Co., Inc.

Englewood, CO

Phoenix, AZ

Phoenix, AZ

Phoenix, AZ

Phoenix, AZ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-09-18
S63	Uniform Securities Agent State Law Examination	1992-07-09

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