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RH

Rami Hofshi

HEROLD & LANTERN INVESTMENTS
stamford, CT
Some features on this profile are disabled
CRD#: 1965882
RH

Professional summary

Rami Hofshi, who also goes by Ray Hofshi, is a registered financial professional currently at HEROLD & LANTERN INVESTMENTS, INC. located in Stamford, Connecticut.

Rami is registered as a RR (Registered Representative) and started their career in finance in 1989. Rami has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ray Hofshi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rami Hofshi's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 2, 2018 - Present

HEROLD & LANTERN INVESTMENTS, INC.

BD
CRD#: 30996
stamford, CT
Past

January 5, 2004 - December 31, 2017

SMH CAPITAL INVESTMENTS LLC

BD
CRD#: 24535
STAMFORD, CT
Past

July 8, 2000 - December 31, 2003

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

October 17, 1994 - July 8, 2000

POLARIS FINANCIAL SERVICES, INC.

BD
CRD#: 14521
CONCORD, NH
Past

January 10, 1994 - December 24, 2016

WESTPORT RESOURCES MANAGEMENT INC

RIA
CRD#: 105306
STAMFORD, CT
Past

May 27, 1993 - November 2, 1994

SMH CAPITAL INVESTMENTS LLC

BD
CRD#: 24535
FT. WORTH, TX
Past

January 1, 1990 - June 14, 1993

SPERBER ADAMS & COMPANY, INC.

BD
CRD#: 13370
WESTPORT, CT
Past

August 22, 1989 - December 4, 1989

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(1/2/2018)
RR
Maine
(1/2/2018)
RR
Maryland
(1/2/2018)
RR
New York
(1/2/2018)
RR
Vermont
(1/2/2018)
RR
West Virginia
(1/2/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/26/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/1/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/22/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HEROLD & LANTERN INVESTMENTS, INC.
HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Phone number
(631) 454-2000
Established
Delaware since 08/28/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.OWNER
HEROLD, LAWRENCE STEPHENCHIEF OPERATING OFFICER/FINOP870531
LANTON, KEITH MICHAELPRESIDENT1703378
SHEFTEL, WENDY DIANECHIEF COMPLIANCE OFFICER2300282

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.

Company Information

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996Stamford, CT

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