Jon A. Hermanson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jon Andresen Hermanson, who also goes by Herm Hermanson, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1982. Jon had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 5, Series 3, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2004 - September 5, 2013
NATALLIANCE SECURITIES, LLC
October 21, 2002 - March 1, 2004
WELLS FARGO INVESTMENT SERVICES, LLC
April 17, 2002 - October 17, 2002
WELLS FARGO SECURITIES, LLC
April 17, 2002 - March 11, 2004
WELLS FARGO INVESTMENTS, LLC
January 2, 2000 - June 2, 2000
CETERA ADVISORS LLC
April 3, 1998 - June 15, 1998
SEAFIRST INVESTMENT SERVICES, INC.
December 1, 1997 - March 31, 1998
BANCAMERICA SECURITIES, INC.
February 28, 1996 - December 2, 1997
SEAFIRST INVESTMENT SERVICES, INC.
September 28, 1993 - February 27, 1995
CIBC WORLD MARKETS CORP.
April 9, 1991 - November 4, 1992
SEAFIRST SECURITIES, INC.
February 25, 1982 - February 19, 1985
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/6/1982
Interest Rate Options ExaminationSeries 8
Date: 3/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
