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EH

Emmanuel J. Hermes

HAITONG INTERNATIONAL SECURITIES (USA)
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 2017893
EH

Professional summary

Emmanuel Joseph Hermes, who also goes by E Joseph Hermes, Joseph E Hermes, Joseph Hermes, is a registered financial professional currently at HAITONG INTERNATIONAL SECURITIES (USA) INC. located in New York, New York.

Emmanuel is registered as a RR (Registered Representative) and started their career in finance in 1994. Emmanuel has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

E Joseph Hermes | Joseph E Hermes | Joseph Hermes

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 Emmanuel Joseph Hermes's 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

March 21, 2018 - Present

HAITONG INTERNATIONAL SECURITIES (USA) INC.

Office #1: 130 West 42nd Street Fl 18, New York, NY 10036
BD
CRD#: 132201
NEW YORK, NY
Past

November 3, 2014 - July 26, 2017

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

July 2, 2012 - October 15, 2014

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

February 24, 2004 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

February 27, 2003 - February 20, 2004

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

September 28, 1994 - December 31, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
California
(11/18/2022)
RR
Connecticut
(11/18/2022)
RR
Florida
(11/18/2022)
RR
Georgia
(11/18/2022)
RR
Illinois
(11/18/2022)
RR
Massachusetts
(11/18/2022)
RR
New York
(3/21/2018)
RR
Wisconsin
(11/18/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/17/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/14/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/27/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/2/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

HI
HAITONG INTERNATIONAL SECURITIES (USA) INC.
HAITONG INTERNATIONAL | JAPANINVEST INC. | HAITONG INTERNATIONAL SECURITIES (USA) INC.

CRD#: 132201 / SEC#: , 8-66566

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
130 West 42nd Street Fl 18, New York, NY 10036
Mailing Address
130 West 42nd Street Fl 18, New York, NY 10036
Phone number
(212) 351-6000
Established
New York since 06/09/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HAITONG INTERNATIONAL SECURITIES GROUP LIMITEDPARENT
BASILOTTA, SILVIA GRACIELAFINANCIAL OPERATIONS PRINCIPAL1201948
CHOU, CHUK NAMBOARD OF DIRECTORS MEMBER7755974
FORBES, SEAN MATTHEWPRESIDENT, CHIEF COMPLIANCE OFFICER, COO, CFO, EXECUTIVE PRINCIPAL, BOARD OF DIRECTORS MEMBER1554301
SHI, PINGBOARD OF DIRECTORS MEMBER7030173
WU, YANDEPUTY CEO, BOARD OF DIRECTORS MEMBER3120765
YE, WEILUCEO, BOARD OF DIRECTORS MEMBER7205185

Disclosures

Regulatory Event1

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

HAITONG INTERNATIONAL SECURITIES (USA) INC.

CRD#: 132201New York, NY 10036

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