Susan H. Herman
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.
Susan Helene Herman, who also goes by Sue Herman, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1983. Susan had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2001 - December 31, 2014
LASALLE ST SECURITIES, L.L.C.
January 28, 1998 - October 1, 2001
EISNER SECURITIES, INC.
September 21, 1989 - January 29, 1998
WALNUT STREET SECURITIES, INC.
August 8, 1987 - September 26, 1989
INVESTACORP, INC.
April 11, 1984 - August 20, 1985
THE STUART-JAMES COMPANY, INCORPORATED
March 23, 1983 - March 12, 1984
BLINDER, ROBINSON & CO., INC.
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
Current Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
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.
