Alex L. 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.
Alex Leo Herman, who also goes by Tank Herman, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 1985. Alex had worked at 5 firms and has passed the Series 63, 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
May 13, 1992 - September 9, 1992
KOBER FINANCIAL CORP.
May 31, 1991 - February 20, 1992
MORGAN KEEGAN & COMPANY, LLC
September 7, 1989 - November 29, 1989
KOBER FINANCIAL CORP.
February 27, 1989 - September 16, 1989
ASPEN CAPITAL GROUP, INCORPORATED
February 9, 1989 - February 27, 1989
POWER SECURITIES CORPORATION
January 10, 1985 - March 4, 1989
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
KOBER FINANCIAL CORP.
CRD#: 17551 / SEC#: , 8-35274
Contact information
Documents
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.
