James C. Hermann
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.
James Clifford Hermann was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 11 firms and has passed the Series 63, Series 52TO, Series 3, SIE, Series 7, Series 53, Series 14, Series 9, Series 10, 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
August 7, 2017 - October 13, 2022
E*TRADE SECURITIES LLC
January 7, 2015 - August 7, 2017
E*TRADE FUTURES LLC
March 30, 2009 - March 27, 2015
OPTIONSHOUSE1, LLC
January 23, 2002 - December 11, 2008
WILLIAM BLAIR
November 20, 2001 - December 31, 2001
WEB STREET SECURITIES, INC.
March 23, 2001 - October 23, 2001
DEERFIELD SECURITIES, INC.
March 7, 2000 - November 13, 2001
WEB STREET SECURITIES, INC.
September 15, 1999 - February 29, 2000
HOWE BARNES HOEFER & ARNETT, INC.
July 9, 1999 - September 27, 1999
PRUDENTIAL EQUITY GROUP, LLC
February 3, 1997 - September 3, 1999
VECTOR SECURITIES INTERNATIONAL, INC.
April 20, 1995 - July 31, 1996
KROLL SECURITIES LLC
March 15, 1993 - March 29, 1995
WELLS FARGO CLEARING SERVICES, LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
E*TRADE SECURITIES LLC
CRD#: 29106 / SEC#: , 8-44112
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ADRIEN, JACQUES C | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 2996942 |
| FINN, JED | MANAGER | 5658048 |
| GREANEY, BRIAN JOSEPH | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 3274607 |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER | 4928947 |
| HENNESSY, MICHAEL S | MANAGER | 1988660 |
| JANOVER, JAMES T | MANAGER | 2818307 |
| TURNER, CHAD EDWARD | PRESIDENT AND CHIEF EXECUTIVE OFFICER,MANAGER | 6009808 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 139 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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