Mark C. 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.
Mark Christopher Herman was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 4 firms and has passed the Series 65, 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
December 17, 2015 - September 19, 2016
C & H OPTION TRADING INC.
March 7, 2014 - August 1, 2014
SUMO CAPITAL, LLC
May 16, 2011 - January 22, 2014
G-BAR LIMITED PARTNERSHIP
June 15, 1992 - March 31, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
C & H OPTION TRADING INC.
CRD#: 281072 / SEC#: , 8-69660
Contact information
Documents
Red Flags
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