Herman E. Doering
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.
Herman Edward Doering JR., who also goes by Herman Edward Doering Jr, Herman Edward Doering, was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 1987. Herman had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 6, Series 14, Series 12, Series 53, Series 4 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
November 7, 2011 - February 17, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 7, 2011 - February 17, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2007 - November 3, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
May 31, 2005 - November 3, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
October 20, 2000 - April 25, 2005
PEACOCK, HISLOP, STALEY & GIVEN, INC.
September 14, 2000 - October 18, 2000
PARADISE VALLEY SECURITIES, INC.
July 30, 1999 - April 11, 2000
SUNAMERICA SECURITIES, INC.
July 23, 1998 - July 26, 1999
ABN AMRO INCORPORATED
November 7, 1997 - February 5, 1998
TD AMERITRADE, INC.
June 27, 1988 - November 7, 1997
KENNEDY, CABOT & CO.
June 2, 1988 - November 7, 1997
KENNEDY, CABOT & CO.
March 23, 1988 - June 1, 1988
WILLIAM K. WOODRUFF & COMPANY INCORPORATED
July 16, 1987 - March 21, 1988
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 55
Date: 3/3/2001
Limited Representative-Equity Trader ExamSeries 12
Date: 1/15/1998
NYSE Branch Manager ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
