Herbert S. Hershkowitz
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.
Herbert Seth Hershkowitz was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1985. Herbert had worked at 12 firms and has passed the Series 63, SIE, Series 19, Series 55, Series 25, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2017 - January 2, 2018
TJM INVESTMENTS, LLC
January 6, 2015 - January 11, 2017
TD PRIME SERVICES LLC
May 28, 2013 - December 24, 2014
RAVEN SECURITIES CORP.
May 3, 2004 - May 21, 2013
DIRECT ACCESS PARTNERS LLC
October 31, 2002 - March 25, 2004
DIRECT ACCESS PARTNERS LLC
October 5, 2000 - November 14, 2002
BREAN MURRAY & CO., INC.
March 17, 1995 - July 19, 1995
GLOBAL PARTNERS SECURITIES INC.
November 15, 1991 - February 24, 1995
CIBC WORLD MARKETS CORP.
May 29, 1991 - November 14, 1991
TRADEX BROKERAGE SERVICE, INC.
November 21, 1988 - September 20, 1989
HERZOG, HEINE, GEDULD, LLC
November 17, 1987 - March 28, 1988
HERZOG, HEINE, GEDULD, LLC
February 21, 1986 - June 19, 1987
FIRST OPTIONS OF CHICAGO, INC.
June 11, 1985 - September 4, 1985
DEUTSCHE IXE, LLC
May 21, 1985 - June 11, 1985
APEX CLEARING CORPORATION
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 19
Date: 10/20/2016
NYSE Floor Clerk - Equities ExaminationSeries 55
Date: 11/20/2014
Limited Representative-Equity Trader ExamSeries 25
Date: 8/14/2002
NYSE Trading Assistant ExaminationCurrent Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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