Patrick J. Gorman

HEROLD ADVISORS

W Islip, NY

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CRD#: 1405173

Professional summary

Patrick John Gorman is a registered financial advisor currently at HEROLD ADVISORS, INC. located in W Islip, New York and HEROLD & LANTERN INVESTMENTS, INC. located in New York, New York.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Patrick has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) GF CONSULTANTS OF NY, INC., located at my residence. NON-INVESTMENT RELATED. PRESIDENT & OWNER OF ACCOUNTING AND TAX BUSINESS FROM 1997. HOURS/MONTH: 100, THEREOF 4 DURING SECURITIES TRADING HOURS. TAX RETURN PREPARATION, ACCOUNTING. ETC. 2) Ghost of the Nightingale. Not business investment related.at my primary residence. Book. Co-author starting in 2019. Approx 10 hrs per month, none of which are during securites trading hours. Promoting the book and book signings 3) Herold Advisors, Inc. Investment Related 845 Third Ave NY, NY. Acting as an investment advisor representative offering clients wealth management accounts. As of 09/2025. Approximately 40 hours per month all of which are during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick John Gorman'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

September 22, 2025 - Present

HEROLD ADVISORS, INC.

RIA

CRD#: 105090

W Islip, NY

Current

November 2, 2020 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 845 Third Avenue Suite 1703, New York, NY 10022

CRD#: 30996

New York, NY

Past

September 24, 1986 - November 5, 2020

BERNARD HEROLD & CO., INC.

CRD#: 6193

NEW YORK, NY

Past

December 4, 1985 - July 9, 1986

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HEROLD ADVISORS, INC.

CRD#: 105090 / SEC#: 801-11216

RIA

Registered Investment Advisory firm - (1/2/1976 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(4/19/2022)

New York
(11/2/2020)

IAR

New York
(9/22/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/3/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

HEROLD ADVISORS, INC.

CRD#: 105090 / SEC#: 801-11216

RIA

Registered Investment Advisory firm - (1/2/1976 Approved)

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Contact information

Main Address

845 Third Avene Suite 1703, New York, NY 10022-7513

Mailing Address

Phone number

(212) 371-3950

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HEROLD ADVISORS, INC. MANAGED ACCOUNT FIRM BROCHURE MARCH 2025 (3/31/2025)

HEROLD ADVISORS, INC. INDIVIDUAL INVESTMENT CONSULTING WRAP FEE ADVISORY PROGRAM BROCHURE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	523
AUM (Assets Under Management)	$ 489,697,335

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.

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Patrick J. Gorman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick John Gorman's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEROLD & LANTERN INVESTMENTS, INC.

BERNARD HEROLD & CO., INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

HEROLD ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2025

Series 63

Date: 8/29/1985

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1986

Series 6

Date: 12/3/1985

FINRA

Current Firm

HEROLD ADVISORS, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEROLD ADVISORS, INC.

TRUST BUT VERIFY

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