William Fairfax Herbert
Professional Summary
William Fairfax Herbert was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1982 - 2013. William had worked at 8 firms and has passed the Series 63, Series 87, Series 7, Series 23, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
COWEN SECURITIES LLC | TSD TRADING, LLC | THESTREETDIRECT, LLC | PHOENIX THIRD MARKET CORP. | PHOENIX BROKERAGE, LLC | MORGAN DIRECT, LLC | GOLDRING SECURITIES CORPORATION | DAHLMAN, ROSE & COMPANY, LLC | DAHLMAN ROSE WEISS, LLC | DAHLMAN ROSE & COMPANY, LLC | DAHLMAN ROSE & CO., LLC
Contact Information
Established
Delaware since 10/04/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Apr 2012About the Series 87 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2000About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2000About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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