Elliot Bruce Herman

Current Employers

Employment History

• 11/2016 → Present
  Prw Wealth Management Llc
  Quincy, MA
• 04/2016 → 11/2016
  Kestra Financial Services, Inc.
  Austin, TX
• 11/2016 → 11/2023
  Lion Street Financial, Llc
  Austin, TX
• 04/2016 → 11/2016
  Kestra Advisory Services, Llc
  Austin, TX
• 10/2023 → 10/2025
  Financial Engines Advisors L.L.C.
  Santa Clara, CA
• 10/2025 → Present
  Edelman Financial Engines
  Santa Clara, CA

Previous Registrations

• 2016-11-23 → 2023-12-11
  Prw Wealth Management Llc
  Quincy, MA
• 2016-05-09 → 2016-12-05
  Kestra Advisory Services, Llc
  Quincy, MA
• 2016-03-15 → 2016-09-22
  Kestra Investment Services, Llc
  Quincy, MA
  Quincy, MA

Other Businesses

1) Riverside Community Care; INVESTMENT RELATED: No; ADDRESS: 270 Bridge St, Dedham, MA 02026; NATURE: Largest provider of behavioral healthcare in MA; POSITION: Committee Member; START DATE: 03/01/2021; NUMBER OF HOURS/MONTH: 01 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Help on the development committee. 2) One Family, Inc; INVESTMENT RELATED: No; ADDRESS: 423 West Broadway, Boston, MA 02127; NATURE: Non-profit working to end homelessness; POSITION: Board Member; START DATE: 05/01/2023; NUMBER OF HOURS/MONTH: 02 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 01 Hrs.; DUTIES: Head of Finance Committee and Treasurer. Interact with internal team to review budgets, discuss audit findings, and help with overall board strategy. Provide thought leadership related to investments but receive no compensation for any work done for this non-profit. 3) Temple Beth Shalom; INVESTMENT RELATED: No; ADDRESS: 670 Highland Ave, Needham, MA 02494; NATURE: Religious institution; POSITION: Committee Member; START DATE: 01/01/2010; NUMBER OF HOURS/MONTH: 01 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 01 Hrs.; DUTIES: Head of Investment Committee. Oversee investment portfolio- held in one mutual fund selected by the temple- and report on the fund annually. Interact with Finance committee as needed. 4) JBBBBS; INVESTMENT RELATED: No; ADDRESS: 1430 Main St, Waltham, MA 02451; NATURE: Big Brother/Big Sister program helping kids in need.; POSITION: Committee Member; START DATE: 03/01/2022; NUMBER OF HOURS/MONTH: 01 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 01 Hrs.; DUTIES: Sit on Finance Committee- review budgets and discuss strategy. Review audit report. 5) FPA/Dana Farber Coaching Program; INVESTMENT RELATED: No; ADDRESS: P.O Box 76, Westborough, MA 01581; NATURE: The coaching programs offers cancer patients and their families the ability to access a financial coach to help them navigate a myriad of financial issues including social security, disability, bankruptcy, credit card management, handling investment accounts, etc.; POSITION: Volunteer; START DATE: 01/07/2016; NUMBER OF HOURS/MONTH: 01 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 01 Hrs.; DUTIES: I provide financial coaching to cancer patients. I help them to think through their issues and provide guidance on how to proceed. 6) Trident Wealth Strategies; INVESTMENT RELATED: No; ADDRESS: One Pine Hill Drive, Suite 502, Quincy, MA 02169; NATURE: Mainly insurance business with 2 investment clients; POSITION: ; START DATE: 04/01/2025; NUMBER OF HOURS/MONTH: 01 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 01 Hrs.; DUTIES: Create quarterly reports for one Trident investment client and review the report with a team of outside advisors at a quarterly meeting. Assist the Trident principals (Bill Payne and Rick Renwick) with communication to the other client. This was negotiated with EFE at purchase. The principals of Trident are responsible for the oversight and management of the account. 7) LogicSource; INVESTMENT RELATED: No; ADDRESS: 44 Main Street, West Port, CT 06880; NATURE: Provides sourcing, procurement, and related technology services for the management of its customers' purchase of materials, products, commodities, etc.; POSITION: Advisory Board; START DATE: 08/03/2026; NUMBER OF HOURS/MONTH: 01 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 01 Hrs.; DUTIES: Assist LogicSource in identifying prospective clients and making introductions.

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-06-27

Designations