Mary G. Herms
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.
Mary Galloway Herms, who also goes by Mary Galloway Germs, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1991. Mary had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2017 - April 3, 2018
280 SECURITIES LLC
October 4, 2004 - May 28, 2013
CREDIT SUISSE SECURITIES (USA) LLC
March 3, 2004 - September 23, 2004
MORGAN STANLEY DW INC.
January 23, 1998 - October 13, 2004
MORGAN STANLEY & CO. LLC
December 4, 1991 - November 7, 1995
MORGAN STANLEY MARKET PRODUCTS INC.
December 4, 1991 - June 25, 1997
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Series 55
Date: 4/15/2003
Limited Representative-Equity Trader ExamCurrent Firm
280 SECURITIES LLC
CRD#: 284939 / SEC#: , 8-69819
Contact information
Documents
Red Flags
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