Philip A. Herd
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.
Philip Anthony Herd, who also goes by Philip A Herd, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1992. Philip had worked at 9 firms and has passed the Series 66, 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
February 2, 2012 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
February 2, 2012 - November 19, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
April 28, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 28, 2004 - November 19, 2013
NEW ENGLAND SECURITIES
April 28, 2004 - November 19, 2013
MSI FINANCIAL SERVICES, INC.
August 1, 2003 - September 5, 2013
WALNUT STREET SECURITIES, INC.
March 8, 2000 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
April 9, 1992 - September 3, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 9, 1992 - September 3, 1999
EQUITABLE ADVISORS, 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
Current Firm
TOWER SQUARE SECURITIES, INC.
CRD#: 833 / SEC#: 801-50585, 8-13752
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLAZA LLC | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
| Bond | 2 |
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.
