Bernard E. 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.
Bernard Edgar Hermann, who also goes by Bernie Hermann, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1983. Bernard had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 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
January 6, 2004 - December 31, 2019
FINANCIAL LEGACY ASSOCIATES
November 17, 1999 - July 28, 2023
OSAIC WEALTH, INC.
October 6, 1995 - July 28, 2023
OSAIC WEALTH, INC.
June 24, 1985 - October 9, 1995
FFP SECURITIES, INC.
August 23, 1983 - May 23, 1986
FIRST AFFILIATED SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL LEGACY ASSOCIATES
CRD#: 115944 / SEC#: 801-68836
Contact information
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 6,150,111 |
Red Flags
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