Herschel E. Dwellingham
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.
Herschel Emerson Dwellingham II was a registered financial professional .
Herschel is a previously registered financial professional and started their career in finance in 1991. Herschel had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 1995 - August 29, 1995
L.B. SAKS, INC.
February 6, 1995 - March 22, 1995
JOSEPH DILLON & COMPANY INC.
November 25, 1992 - December 4, 1992
GKN SECURITIES CORP.
July 15, 1992 - September 24, 1992
REICH & CO., INC.
September 10, 1991 - July 22, 1992
SOUTH RICHMOND SECURITIES, INC.
June 18, 1991 - September 19, 1991
A.S. GOLDMEN & CO., INC.
June 4, 1991 - June 20, 1991
FIRST MONTAUK SECURITIES CORP.
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
L.B. SAKS, INC.
CRD#: 34070 / SEC#: , 8-46383
Contact information
Documents
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.
