James Herrick has been Executive Vice President of TFO Wealth Partners since March 2024, is a control person of the firm and directly owns under 5% of it.
Tfo Wealth Partners, LLC is a Maumee, OH firm with $5.66B under management, 1,986 clients and 55 advisers across 12 offices, as of its April 2026 filing.
James Herrick’s longest registration is the current one, 15 years at TFO Wealth Partners since 2011. Before joining TFO Wealth Partners in 2011, James Herrick was registered through Walnut Street Securities, Inc.
- One to One, LLC– · 2 yearsMaumee, OH · Adviser representative · Firm CRD 284717
- Tfo Wealth PartnersCurrent– present · 15 yearsMaumee, OH · Adviser representative · Firm CRD 124407
- Walnut Street Securities, Inc.– · 5 yearsToledo, OH · Adviser representative · Firm CRD 15840
Professional designations
Listed by TFO Wealth Partners
- CFP®
Investment adviser representative registrations
James Herrick is registered as an investment adviser representative in 2 states. The first approvals date from September 2011; the most recent is Texas, in August 2019.
- OhioSince 1 September 2011
- TexasSince 15 August 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 26 February 2010 |
| Series 7 | General Securities Representative Examination | 23 May 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 17 November 2005 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Robert Herrick
- CRD
- 4952836
- Firm
- TFO Wealth Partners · CRD 124407
- Role
- Executive Vice President
- Office
- 1440 ARROWHEAD DRIVE, Maumee, OH 43537
- Registration
- Investment adviser registration
- In the industry since
- April 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- tfowealth.com
Where does James Herrick work?
James Herrick has been Executive Vice President of Tfo Wealth Partners, LLC since March 2024, and is a control person of the firm.
Is James Herrick a financial advisor?
Yes. James Herrick has a current investment-adviser registration in Ohio and Texas, through TFO Wealth Partners since September 2011.
How many years of experience does James Herrick have?
James Herrick has 20 years in the financial industry, since April 2006, across 3 adviser firms.
What exams has James Herrick passed?
James Herrick has passed 3 licensing exams: the Series 6, Series 7 and Series 63. The earliest, the Series 6, was passed in November 2005.
Where is James Herrick based?
James Herrick’s registered office is in Maumee, OH.
Is James Herrick registered with FINRA?
No. James Herrick has no current broker registration.
Is James Herrick a CFP?
TFO Wealth Partners lists James Herrick with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify James Herrick’s record?
Search CRD 4952836 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Herrick’s full registration record.