James R. Hermann
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.
James Ray Hermann was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 7 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2007 - July 9, 2008
THE STREET, INC.
March 21, 2001 - May 26, 2005
CITIGROUP GENEVA CAPITAL STRATEGIES INC.
October 25, 1989 - February 24, 1996
PORTSMOUTH FINANCIAL SERVICES
July 27, 1987 - October 25, 1989
HUTCHINSON SECURITIES
September 16, 1986 - July 15, 1987
BALDWIN CAPITAL PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
May 21, 1986 - October 7, 1986
HERBERT LAWRENCE CONSULTANTS, INC.
July 13, 1983 - May 21, 1986
CHAZEN SECURITIES, 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
THE STREET, INC.
CRD#: 120682 / SEC#: , 8-65330
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OCEAN ENTERPRISES, INC. | HOLDING COMPANY | |
| STOUT, ROBERT WESLEY | PRESIDENT CFO, CEO, CHIEF COMPLIANCE OFFICER | 1356443 |
Disclosures
| Regulatory Event | 1 |
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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