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AH

Alan W. Herman

BANKERS LIFE SECURITIES
Toms River, NJ 08753
Some features on this profile are disabled
CRD#: 2048455
AH

Professional summary

Alan Wayne Herman is a registered financial professional currently at BANKERS LIFE SECURITIES, INC. located in Toms River, New Jersey.

Alan is registered as a RR (Registered Representative) and started their career in finance in 1990. Alan has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Alan Wayne Herman'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

May 26, 2016 - Present

BANKERS LIFE SECURITIES, INC.

Office #1: 1433 Hooper Ave. Suite 121, Toms River, NJ 08753
BD
CRD#: 173962
Toms River, NJ
Past

June 12, 2010 - May 26, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
MARLBORO, NJ
Past

January 20, 2005 - May 28, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
MARLBORO, NJ
Past

June 30, 2003 - January 3, 2005

AFS BROKERAGE, INC.

BD
CRD#: 25924
AUSTIN, TX
Past

January 13, 1998 - June 11, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 27, 1994 - June 19, 1996

ALEXANDER & ALEXANDER SECURITIES CORP.

BD
CRD#: 7907
HOUSTON, TX
Past

August 1, 1990 - June 15, 1994

PENTEGRA DISTRIBUTORS INC.

BD
CRD#: 26249
WHITE PLAINS, 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
New Jersey
(5/26/2016)
RR
New York
(5/26/2016)
RR
Pennsylvania
(5/26/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 5/10/1990
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: 4/24/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/12/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/6/1990
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BL
BANKERS LIFE SECURITIES, INC.
BANKERS LIFE | BL SECURITIES, INC. | BANKERS LIFE SECURITIES, INC.

CRD#: 173962 / SEC#: , 8-69562

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

Main Address
303 E Wacker Drive 5th Fl, Chicago, IL 60601
Mailing Address
303 E. Wacker Drive 5th Fl, Chicago, IL 60601
Phone number
(844) 553-9083
Established
Indiana since 07/31/2014
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 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#
CDOC, INC.PARENT COMPANY
GOLDBERG, SCOTT LOUISBOARD MEMBER5296395
HEILMAN, CHERYL LYNNPRESIDENT/CEO/DIRECTOR2114445
JOSEPHSON, STEVEN MCOO, DIRECTOR2239540
KELLY, BRETT JDIRECTOR, BLS OPERATIONS4818868
LAMSON, MARK LEEDIRECTOR OF SALES PRACTICE1796166
MCDONOUGH, PAUL HBOARD MEMBER7089411
ROBERTS, ALBERTA STEPHENSCHIEF COMPLIANCE OFFICER/ SECRETARY2681068
TUCKER, CLARK BOMARFINOP1977842

Disclosures

Regulatory Event1
Civil 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

BANKERS LIFE SECURITIES, INC.

CRD#: 173962Toms River, NJ 08753

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