Thomas Herman
Professional Summary
Thomas Herman, who also goes by Thomas Arthur Herman, is a registered financial advisor currently at FINALIS SECURITIES LLC located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 82, Series 62, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Arthur Herman
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC
Contact Information
Main Address
450 Lexington Ave, New York, NY 10017Mailing Address
228 Park Ave South Suite 85550, New York, NY 10003Phone Number
(800) 962-0418Established
Delaware since 09/10/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(10/2/2024)
(7/28/2021)
(3/18/2026)
(5/26/2026)
(3/13/2026)
(2/7/2022)
(3/24/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82 — Limited Representative-Private Securities Offerings
Passed Dec 2015About the Series 82 examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jun 2010Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1992About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Herman's CRS (Customer Relationship Summary).
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