Herbert H. Covington
Professional summary
Herbert Hunt Covington III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Herbert is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Herbert had worked at 3 firms, which includes RYAN BECK & CO., LADENBURG THALMANN & CO. INC., MESIROW FINANCIAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2003 - August 17, 2004
RYAN BECK & CO.
April 11, 1997 - February 4, 2003
LADENBURG THALMANN & CO. INC.
November 30, 1995 - April 11, 1997
MESIROW FINANCIAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RYAN BECK & CO.
CRD#: 3248 / SEC#: , 8-12296
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYAN BECK HOLDINGS, INC | SHAREHOLDER | |
| CULLEN, THOMAS WILLIAM | CHIEF FINANCIAL OFFICER | 2702098 |
| KRUSZEWSKI, RONALD JAMES | DIRECTOR | 1434827 |
| PELLEGRINO, JOHN RICHTER | SENIOR V.P.,DIRECTOR OF COMPLIANCE | 826719 |
| PLOTKIN, BEN ALAN | CHAIRMAN AND CEO, DIRECTOR | 1692122 |
| STEGELAND, GARRY JOSEPH | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 1881270 |
| ZEMLYAK, JAMES MARK | DIRECTOR | 1586132 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 5 |
Red Flags
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