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CS

Craig G. Schmitterer

HEROLD & LANTERN INVESTMENTS
Staten Island, NY 10305
Some features on this profile are disabled
CRD#: 1363689
CS

Professional summary

Craig George Schmitterer is a registered financial professional currently at HEROLD & LANTERN INVESTMENTS, INC. located in Staten Island, New York.

Craig is registered as a RR (Registered Representative) and started their career in finance in 1985. Craig has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Craig George Schmitterer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 2, 2020 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 1190 Hylan Blvd, Staten Island, NY 10305
BD
CRD#: 30996
Staten Island, NY
Past

January 3, 2012 - November 5, 2020

BERNARD HEROLD & CO., INC.

BD
CRD#: 6193
STATEN ISLAND, NY
Past

March 19, 1991 - May 26, 2011

BERNARD HEROLD & CO., INC.

BD
CRD#: 6193
NEW YORK, NY
Past

October 16, 1985 - December 31, 1989

WESTPORT FINANCIAL GROUP, INC.

BD
CRD#: 13048

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(11/23/2020)
RR
Florida
(11/2/2020)
RR
New Jersey
(1/3/2022)
RR
New York
(11/2/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 10/24/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/1985
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HEROLD & LANTERN INVESTMENTS, INC.
HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Phone number
(631) 454-2000
Established
Delaware since 08/28/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.OWNER
HEROLD, LAWRENCE STEPHENCHIEF OPERATING OFFICER/FINOP870531
LANTON, KEITH MICHAELPRESIDENT1703378
SHEFTEL, WENDY DIANECHIEF COMPLIANCE OFFICER2300282

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.

Company Information

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996Staten Island, NY 10305

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