Gerald F. 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.
Gerald Francis Herman was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1990. Gerald had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2012 - November 16, 2016
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
October 27, 1998 - December 1, 2009
PINEBRIDGE SECURITIES LLC
June 29, 1998 - July 28, 1998
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 3, 1995 - September 2, 1997
SBC WARBURG, INC.
November 2, 1992 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
June 3, 1992 - November 4, 1992
SBC WARBURG, INC.
June 1, 1990 - November 8, 1991
CIBC WOOD GUNDY SECURITIES CORP.
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
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
CRD#: 157767 / SEC#: , 8-68860
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
