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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

Michele L Herzberg

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

ST. PETERSBURG, FL | Chicago, IL

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Search this name across graphsid dfx:ria:90253a70-214d-b2e9-34f0-00495ff4cf59

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Sep 19, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES & ASSOCIATES, INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 9, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jul 9, 1992
First registration: Sep 19, 2006
Dual registered: yes, broker-dealer
Other names: MICHELE L HERZBERG|MICHELLE HERZBERG|MICHELE LYNN HERZBERG|MICHELE HERZBERG
IAPD individual key: 2210431

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Mar 27, 2023	n/a	yes	ST. PETERSBURG, FL\|Chicago, IL	Current employment
BEDROCK INVESTMENT ADVISORS	Former SEC adviser	Aug 24, 2020	Nov 28, 2022	no	SCOTTSDALE, AZ	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Aug 21, 2018	Jul 17, 2019	no	Phoenix, AZ\|PHOENIX, AZ	Previous registration
LUCIA CAPITAL GROUP	Former SEC adviser	Dec 1, 2016	Mar 19, 2018	no	Scottsdale, AZ	Previous registration
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	Independent wealth	Feb 2, 2016	Jun 1, 2016	no	SCOTTSDALE, AZ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 19, 2013	Aug 18, 2015	no	CHANDLER, AZ\|CHANDLER, AZ	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 19, 2006	Jan 23, 2013	no	ENGLEWOOD, CO\|Phoenix, AZ\|PHOENIX, AZ\|Phoenix, AZ\|PHOENIX, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BEDROCK INVESTMENT ADVISORS	RAYMOND JAMES & ASSOCIATES, INC.	Nov 28, 2022	Mar 27, 2023	119	Firm change	RIA to ibd
USAA INVESTMENT SERVICES COMPANY	BEDROCK INVESTMENT ADVISORS	Jul 17, 2019	Aug 24, 2020	404	Firm change after gap	Ibd to RIA
LUCIA CAPITAL GROUP	USAA INVESTMENT SERVICES COMPANY	Mar 19, 2018	Aug 21, 2018	155	Firm change	RIA to ibd
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	LUCIA CAPITAL GROUP	Jun 1, 2016	Dec 1, 2016	183	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	Aug 18, 2015	Feb 2, 2016	168	Firm change	Other
CHARLES SCHWAB & CO., INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 23, 2013	Nov 19, 2013	300	Firm change	Ibd to wirehouse

Relationships

Registered with (7)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Mar 27, 2023 to presentfactForm ADV
→ BEDROCK INVESTMENT ADVISORSRegistered adviserregistration: previous registration
Aug 24, 2020 to Nov 28, 2022factForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Aug 21, 2018 to Jul 17, 2019factForm ADV
→ LUCIA CAPITAL GROUPRegistered adviserregistration: previous registration
Dec 1, 2016 to Mar 19, 2018factForm ADV
→ UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERRegistered adviserregistration: previous registration
Feb 2, 2016 to Jun 1, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 19, 2013 to Aug 18, 2015factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Sep 19, 2006 to Jan 23, 2013factForm ADV

Dated events

Occurred
Nov 28, 2022
Advisor changed firm
Michele L Herzberg left Bedrock Investment Advisors for Raymond James & Associates, Inc. (registered 2023-03-27)
Form ADVobserved 5 days ago