Thomas Dale Herr

Current Employers

Employment History

• 02/1991 → Present
  Guardian Life Insurance Company
  New York, NY
• 10/2002 → Present
  Serpe Insurance
  Chicago, IL
• 08/2005 → Present
  Cunningham Group
  Oak Park, IL
• 03/2009 → Present
  Ausdal Financial Partners, Inc.
  Chicago, IL

Previous Registrations

• 1998-02-17 → 2009-02-27
  Waterstone Financial Group, Inc.
  Chicago, IL
  Chicago, IL

Other Businesses

1-SERPE INSURANCE. 2538 N. LINCOLN AVE. CHICAGO IL 60614. INSURANCE SALES. SUPERVISOR-TOM HERR. 160 HOURS A MONTH WITH 5 HOURS DURING TRADING HOURS. 0% OWNERSHIP. THIS IS NOT AN INVESTMENT RELATED ACTIVITY.ABOUT 40% OF SALES ARE INDIVIDUAL HEALTH AND 99% OF THAT IS THROUGH BLUE CROSS OF ILLINOIS. ANOTHER 40% OF SALES IS GROUP HEALTH INSURANCE. THOSE LINES OF BUSINESS ARE PLACED THROUGH BLUE CROSS OF ILLINOIS, UNITED HEALTHCARE, HUMANA, AETNA AND LAND OF LINCOLN. ANOTHER 15% OF SALES ARE INDIVIDUAL LIFE INSURANCE WHICH IS ALL PLACED THROUGH MVP FINANCIAL AND 5% OF SALES ARE GROUP DENTAL, GROUP LONG TERM AND SHORT TERM DISABILITY AND GROUP LIFE. COMMISSION BASED INCOME. 2. MAZ INSURANCE, INC; INVESTMENT RELATED; MT. PROSPECT, IL; INSURANCE SALES; AGENT/OWNER; ACTIVITY BEGAN 08/2023; I DEVOTE APPX 5 HOURS TO THIS BUSINESS ALL DURING TRADING HOURS; OWNER OF AGENCY. 3. JCTH, LLC; INVESTMENT RELATED; MT. PROSPECT, IL; INSURANCE SALES; OWNER; ACTIVITY BEGAN AUGUST 2023; I DEVOTE 1 HOUR PER MONTH TO THIS ACTIVITY DURING TRADING HOURS; LLC ESTABLISHED FOR INSURANCE SALES.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-12-18
• S63 Uniform Securities Agent State Law Examination
  1986-04-22

Other Names

• Tom Herr