DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Joseph Robert Herron

LPL Financial LLCBD affiliatedBlue Bell, Pa dual registrantIAPD 4133272

Feed of 09/15/2026

Also filed as Joseph R Herron

At current firm

1 y

since May 15, 2025

In the industry

23 y

since Jun 9, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since May 15, 2025 · Blue Bell, Pa
Cuso Financial Services, L.P. former
Feb 21, 2025 to May 15, 2025 · Blue Bell, Pa
Cetera Investment Advisers LLC BD affiliated
Dec 13, 2024 to Feb 18, 2025 · West Norriton, Pa
Cuso Financial Services, L.P. former
Feb 1, 2018 to Dec 12, 2024 · West Norriton, Pa
Capital Analysts BD affiliated
Oct 4, 2017 to Feb 2, 2018 · Jenkintown, Pa
Lincoln Investment independent RIA
Oct 4, 2017 to Feb 2, 2018 · Horsham, Pa
Td Ameritrade Investment Management, LLC former
Apr 7, 2015 to Dec 20, 2016 · Radnor, Pa
Td Ameritrade, Inc. former
Apr 7, 2015 to Dec 20, 2016 · Radnor, Pa
Investment Professionals, Inc. former
Sep 10, 2010 to Jan 14, 2013 · San Antonio, Tx
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 23, 2009 to Sep 13, 2010 · Blue Bell, Pa
Banc Of America Investment Services, Inc. unclassified
May 2, 2008 to Oct 23, 2009 · Blue Bell, Pa
Pnc Wealth Management BD affiliated
Jan 1, 2004 to May 7, 2008 · Lansdale, Pa
J.J.B. Hilliard, W.L. Lyons, LLC former
Jun 9, 2003 to Jan 1, 2004 · Lansdale, Pa

Moves

a registration end followed by a registration begin elsewhere

Cuso Financial Services, L.P. to LPL Financial LLC
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
Cetera Investment Advisers LLC to Cuso Financial Services, L.P.
left Feb 18, 2025, registered Feb 21, 2025 (3 days) · Affiliated broker-dealer or bank to another
Cuso Financial Services, L.P. to Cetera Investment Advisers LLC
left Dec 12, 2024, registered Dec 13, 2024 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
Lincoln Investment to Cuso Financial Services, L.P.
left Feb 2, 2018, registered Feb 1, 2018 (-1 days) · Other
Capital Analysts to Lincoln Investment
left Feb 2, 2018, registered Oct 4, 2017 (-121 days) · Other
Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLC
left Dec 20, 2016, registered Apr 7, 2015 (-623 days) · Other
Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.
left Dec 20, 2016, registered Apr 7, 2015 (-623 days) · channel change inside one enterprise, not a move
Investment Professionals, Inc. to Td Ameritrade, Inc.
left Jan 14, 2013, registered Apr 7, 2015 (813 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Investment Professionals, Inc.
left Sep 13, 2010, registered Sep 10, 2010 (-3 days) · Other
Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Pnc Wealth Management to Banc Of America Investment Services, Inc.
left May 7, 2008, registered May 2, 2008 (-5 days) · Other
J.J.B. Hilliard, W.L. Lyons, LLC to Pnc Wealth Management
left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move

Signals

Joseph Robert Herron left Cetera Investment Advisers Llc for Cuso Financial Services, L.P. (registered 2025-02-21)
Feb 18, 2025 · Advisor changed firm · fact
Joseph Robert Herron left Cuso Financial Services, L.P. for Cetera Investment Advisers Llc (registered 2024-12-13)
Dec 12, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address