Michael Herman
Professional summary
Michael Herman, who also goes by Michael A Herman, Michael Alden Herman, is a registered financial professional currently at GFI SECURITIES LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Herman's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 3, 2006 - Present
GFI SECURITIES LLC
Office #1: 55 Water Street 10th Floor, New York, NY 10041December 8, 2003 - April 15, 2004
COWEN AND COMPANY
January 16, 2002 - January 25, 2002
LIPPER OFFSHORE CONVERTIBLES, L.P.
April 13, 1999 - January 25, 2002
LIPPER & COMPANY, L.P.
September 21, 1998 - January 25, 2002
LIPPER CONVERTIBLES SERIES II, L.P.
November 3, 1992 - January 25, 2002
LIPPER CONVERTIBLES, L.P.
April 6, 1990 - October 31, 1991
R.C. GOVERNMENT SECURITIES, INC.
November 18, 1986 - April 2, 1990
MORGAN STANLEY DW 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
(2/3/2006)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/18/2000
Limited Representative-Equity Trader ExamFINRA
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
GFI SECURITIES LLC
CRD#: 19982 / SEC#: , 8-43548
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFINET INC. | SOLE MEMBER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | PRINCIPAL | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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