Robert P. 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.
Robert P Herman, who also goes by Rob Herman, Robert Patrick Herman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2019 - May 23, 2019
MONEY CONCEPTS CAPITAL CORP
November 19, 2013 - May 31, 2017
SPC
February 3, 2012 - May 30, 2017
SAMMONS FINANCIAL NETWORK, LLC
March 1, 2011 - December 8, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 10, 2011 - December 8, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 22, 2009 - December 1, 2010
DIRECTED SERVICES LLC
April 16, 2002 - December 1, 2010
DIRECTED SERVICES LLC
May 21, 1999 - December 31, 2001
OLD SLIP CAPITAL MANAGEMENT, INC.
July 15, 1996 - March 26, 1999
PACIFIC SELECT DISTRIBUTORS, LLC
October 12, 1995 - February 9, 1996
EDWARD JONES
October 6, 1992 - August 25, 1995
CAPITAL CLIENT GROUP, INC.
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
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
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
