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HH

Harold B. Hermelee

RINCON SECURITIES GROUP LLC
Westlake Village, CA 91361
Some features on this profile are disabled
CRD#: 1555279
HH

Professional summary

Harold Brian Hermelee is a registered financial professional currently at RINCON SECURITIES GROUP LLC located in Westlake Village, California.

Harold is registered as a RR (Registered Representative) and started their career in finance in 1988. Harold has worked at 8 firms and has passed the Series 63, Series 82TO, SIE, Series 7 and Series 24 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 Harold Brian Hermelee's 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

August 28, 2020 - Present

RINCON SECURITIES GROUP LLC

Office #1: 3027 Townsgate Road Suite 230, Westlake Village, CA 91361Office #2: 3027 Townsgate Road Suite 230, Westlake Village, CA 91361
BD
CRD#: 305718
Westlake Village, CA
Past

February 21, 2017 - August 31, 2018

FINANCE OF AMERICA SECURITIES LLC

BD
CRD#: 284464
Westlake Village, CA
Past

February 10, 2014 - December 28, 2015

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
Westlake Village, CA
Past

December 14, 2009 - March 19, 2014

BANC OF MANHATTAN CAPITAL

BD
CRD#: 149880
WOODLAND HILLS, CA
Past

May 7, 2009 - December 22, 2009

MDB CAPITAL

BD
CRD#: 42677
CALABASAS, CA
Past

February 23, 2009 - May 13, 2009

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

March 29, 1996 - September 9, 2008

COUNTRYWIDE SECURITIES CORPORATION

BD
CRD#: 10598
CALABASAS, CA
Past

October 3, 1988 - August 28, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

May 25, 1988 - August 28, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 8/31/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/26/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/2/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RINCON SECURITIES GROUP LLC
RINCON SECURITIES GROUP LLC

CRD#: 305718 / SEC#: , 8-70408

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
3027 Townsgate Road Suite 230, Westlake Village, CA 91361
Mailing Address
3027 Townsgate Road Suite 230, Westlake Village, CA 91361
Phone number
(805) 601-7188
Established
Delaware since 03/19/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DAHLKE, TAD ARTHURPRESIDENT2581451
HERMELEE, HAROLD BRIANMANAGING MEMBER1555279
SMITH, IAN CLARKCFO/CCO/FINOP6050210

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

RINCON SECURITIES GROUP LLC

CRD#: 305718Westlake Village, CA 91361

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