Victor A. Herzfeld
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.
Victor Andre Herzfeld was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1989. Victor had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 3, 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
September 22, 2005 - September 16, 2020
HERZFELD INVESTMENT MANAGEMENT LLC
November 8, 2002 - June 15, 2005
MORGAN STANLEY DW INC.
November 8, 2002 - June 15, 2005
MORGAN STANLEY DW INC.
July 12, 1999 - November 23, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 12, 1998 - November 23, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1993 - July 12, 1999
BA INVESTMENT SERVICES, INC.
March 29, 1990 - January 5, 1993
GRIFFIN FINANCIAL SERVICES
June 15, 1989 - April 3, 1990
DOMINICK & DICKERMAN LLC
January 24, 1989 - June 17, 1989
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HERZFELD INVESTMENT MANAGEMENT LLC
CRD#: 136000 / SEC#:
Contact information
Red Flags
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