Carlos F Herrera

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2019 → 02/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Francisco, CA
• 01/2009 → 03/2018
  Harvest Capital Strategies
  San Francisco, CA
• 04/2018 → 01/2019
  Unemployed
  San Francisco, CA
• 04/2019 → 02/2020
  Bank Of America, N.A.
  San Francisco, CA
• 02/2020 → 09/2023
  First Republic Securities Company, Llc
  San Francisco, CA
• 02/2020 → 09/2023
  First Republic Investment Management, Inc.
  San Francisco, CA
• 09/2023 → 03/2024
  J.P. Morgan Securities Llc
  San Francisco, CA
• 04/2024 → Present
  Morgan Stanley
  San Francisco, CA

Previous Registrations

• 2020-02-21 → 2024-03-18
  J.P. Morgan Private Wealth Advisors Llc
  San Francisco, CA
• 2019-06-12 → 2020-02-13
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Francisco, CA
  New York, NY

Exams

• S66 Uniform Combined State Law Examination
  2019-06-11
• S63 Uniform Securities Agent State Law Examination
  1993-06-14

Designations

• Certified Financial Planner

Other Names

• Carlos F Herrera
• Carlos Herrera
• Carlos Felipe Herrera