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Bruce Alan Herrick

Herrick Portfolio Management Co.

Mayfield Heights, OH

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Current Employers
Herrick Portfolio Management Co.

Mayfield Heights, OH • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2008-01-22
  • OH RA
    APPROVED
    Since 2008-01-22

Branch Locations

Mayfield Heights, OH • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Herrick Portfolio Management Co., Inc. Shaker Heights OH 01/2008 Present
  • 01/2008 → Present
    Herrick Portfolio Management Co., Inc.
    Shaker Heights, OH
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-12-20
S63 Uniform Securities Agent State Law Examination 1985-12-07
  • S65 Uniform Investment Adviser Law Examination
    1993-12-20
  • S63 Uniform Securities Agent State Law Examination
    1985-12-07

View on SEC IAPD

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