Amy Rose Herrick

Credentials: ChFC®

5020 Estate Solitude
Christiansted, Virgin Islands, 00820
Telephone: 785.224.8954
Medium_herrick
Registry Member Since 2012

Business Philosophy

Aristotle said it well: FIRST, have a definite, clear practical ideal; a goal, an objective. SECOND, have the necessary means to achieve your ends; wisdom, money, materials and methods. THIRD, adjust all your means to that end. As an Independent Financial Professional, I provide personalized written recommendations and implementation guidelines to help you achieve your family’s dreams and goals over a lifetime. I do not have a hidden product agenda or sales quota that must be met at your expense. With existing clients located from coast to coast and in the US Virgin Islands, your geographic location is not a limiting factor in our ability to build a long term relationship that meets your ongoing financial needs.

1. What are your firm names?
  • Registered Investment Advisor

    Amy Rose Herrick, ChFC

  • Broker Dealer

    Questar Capital Corporation (QCC)

2. How is your RIA registered?
  • SEC
3. What type of practice do you have?
  • Sole Practitioner
4. What is your relationship to your RIA?
  • Independent Contractor
5. What are your years of financial services experience?
  • 29 Years
6. Do you have one or more degrees from an accredited college or university?
School
Degree
American College
Chartered Financial Consultant
7. What categories of financial services do you provide for fees? Another professional (CPA, estate attorney) by provide one or more of the services. Their services are available through you.
  • No
8. What are your license and registration numbers?
9. What are your current registrations and licenses?
  • IAR
  • Series 6
  • Series 63
  • Life
  • Fixed Annuity
  • Variable Annuity
  • Health
  • Long Term Care
  • Disability
10. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
  • Yes
11. In what states are you licensed or registered to sell investment services and products for fees or commissions?
  • Arizona
  • California
  • Florida
  • Indiana
  • Iowa
  • Kansas
  • Missouri
  • New Mexico
  • North Carolina
  • Ohio
  • Texas
  • Virgin Islands
  • Virginia
  • Washington
12. In what states are you licensed to sell insurance products for commissions?
  • Arizona
  • Arkansas
  • California
  • Florida
  • Indiana
  • Iowa
  • Kansas
  • Missouri
  • Nebraska
  • New Mexico
  • North Carolina
  • Ohio
  • Oklahoma
  • Texas
  • Virgin Islands
  • Virginia
  • Washington
13. In the past five years, do you have any disclosures on your investment or insurance compliance records?
  • Investment Disclosures: No
  • Insurance Disclosures: No
14. Since you became an adult, do you have any criminal disclosures (misdemeanors/felonies)?
  • No
15. My ADV Part II is:
  • Available Upon Request
16. Do you have any additional disclosures?
  • Amy Rose Herrick is an Investment Adviser Representative of, and offers Securities and Investment Advisory Services through Questar Capital Corporation., Member FINRA, SIPC and Registered Investment Advisor. Amy Rose Herrick and Questar Capital Corporation are not affiliated entities. Questar Capital Corporation nor its representatives offer tax or legal advice. For assistance with these matters, please consult your attorney or tax advisor. Securities and Investment Advisory Services offered through Questar Capital Corporation, Member FINRA, SIPC and Registered Investment Adviser.
  • 17. What are your methods of compensation?
    • Hourly Fee
    • Fixed Fee
    • Asset-Based Fee
    • Commissions (Investment Products)
    • Commissions (Insurance Products)
    18. Will you work with clients over the telephone and Internet?
    • Yes
    19. What types of reports do you provide your clients and what is the frequency?
    • Performance (Quarterly)
    • Brokerage Statement (Monthly)
    • Newsletters (Monthly)
    20. Will you meet with prospective clients at their locations?
    • Yes
    21. Do you make investment decisions for your clients without their approval in advance?
    • No (I do not provide discretionary services)
    22. Scope of Business: What is your current number of clients (not accounts)?
    • Available Upon Request
    23. Scope of Business: What are your current assets under management or advisement? (Compensation is fees)
    • Available Upon Request
    24. Do you have a minimum fee requirement?
    • None
    25. Do you have a minimum asset requirement?
    • None
    26. Do you speak any additional languages fluently?
    • None
    27. Do you provide any limited engagement services?
    • Tax
    28. Which categories of financial services do you provide for fees? Another professional (CPA, estate attorney) may provide one or more of these services.
    • Planning
    • Investment
    • Insurance
    • Tax
    29. Do you sell investment or insurance products for commissions?
    • Mutual Funds
    • Life
    • Fixed Annuity
    • Variable Annuity
    • Long Term Care
    • Disability
    30. What types of clients do you work with?
    • Individuals
    • Retirees
    • Pension
    • Other
    • Foundations
    • Businesses
    31. Which custodian(s) take physical possession of your clients' assets? If applicable, name the top three in order of importance
    • Pershing

    Certification

    I certify all of the information in my professional profile is accurate and up-to-date.
    Advisor Name: Amy Rose Herrick
    Most Recent Update: Jan 25, 2014