Herbert A. May
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.
Herbert Arthur May III, who also goes by Herb May, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1988. Herbert had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 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
April 27, 2012 - March 2, 2016
GRANDFUND INVESTMENT GROUP, LLC
March 9, 2006 - August 4, 2011
SIGNAL HILL CAPITAL GROUP LLC
October 15, 2003 - August 30, 2005
WELLS FARGO SECURITIES, LLC
June 14, 1999 - November 20, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
February 23, 1988 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
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: 6/28/2006
Limited Representative-Equity Trader ExamCurrent Firm
GRANDFUND INVESTMENT GROUP, LLC
CRD#: 143253 / SEC#: , 8-67545
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BERTUCIO, DONALD CHARLES | CEO/CHIEF COMPLIANCE OFFICER | 1314696 |
Disclosures
| Regulatory Event | 1 |
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.
