Brian J. Hermenze
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.
Brian John Hermenze was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1992. Brian had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 1998 - February 4, 1999
BAXTER BANKS & SMITH, LTD.
February 5, 1998 - July 16, 1998
WEST AMERICA SECURITIES CORP
July 21, 1997 - January 13, 1998
M.A. GILLESPIE INVESTMENT CORP.
April 11, 1997 - July 17, 1997
PARKER BROMLEY LTD.
March 25, 1996 - May 15, 1996
PACIFIC CORTEZ SECURITIES INCORPORATED
June 19, 1995 - October 13, 1995
CHURCHILL SECURITIES, INC.
November 10, 1994 - March 7, 1995
M. RIMSON & CO., INC.
December 21, 1993 - June 13, 1994
PARAGON CAPITAL MARKETS, INC.
April 26, 1993 - May 17, 1993
CHATFIELD DEAN & CO., INC.
October 8, 1992 - November 13, 1992
AMERINATIONAL FINANCIAL SERVICES, INC.
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
BAXTER BANKS & SMITH, LTD.
CRD#: 40771 / SEC#: , 8-49185
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 17 |
Red Flags
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