Harold H. Herman
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.
Harold Hamley Herman was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1988. Harold had worked at 3 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
December 5, 1989 - January 12, 1990
B C FINANCIAL CORPORATION
January 26, 1989 - November 11, 1989
FIRST EAGLE, INC.
November 23, 1988 - January 19, 1989
POWER SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
B C FINANCIAL CORPORATION
CRD#: 13460 / SEC#: , 8-29224
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.
