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HL

Herman A. Laret

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CRD#: 2289739
HL

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.

Herman August Laret was a registered financial professional .

Herman is a previously registered financial professional and started their career in finance in 1992. Herman had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 24, 2023 - February 27, 2026

FIRST LIBERTIES FINANCIAL

BD
CRD#: 14432
TAMPA, FL
Past

May 27, 2016 - June 5, 2017

FIRST LIBERTIES FINANCIAL

BD
CRD#: 14432
TAMPA, FL
Past

July 8, 2005 - June 30, 2014

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 19, 1998 - April 19, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

February 26, 1998 - August 19, 1998

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

BD
CRD#: 824
NEW YORK, NY
Past

January 13, 1997 - September 26, 1997

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

August 14, 1996 - January 15, 1997

ROSENTHAL GLOBAL SECURITIES LLC

BD
CRD#: 19721
CHICAGO, IL
Past

June 20, 1995 - July 24, 1996

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY
Past

November 4, 1992 - May 3, 1995

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/7/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/12/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/23/2005
General Securities Principal Examination

Current Firm

FL
FIRST LIBERTIES FINANCIAL
FIRST LIBERTIES FINANCIAL | FIRST LIBERTIES SECURITIES,INC. | FIRST LIBERTIES SECURITIES, INC.

CRD#: 14432 / SEC#: , 8-30673

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Mailing Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Phone number
(917) 639-5451
Established
New York since 10/12/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PELION FINANCIAL GROUP, INC.OWNER
BERGMAN, HILARY GUYDIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER1834738

Disclosures

Regulatory Event2

Red Flags

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.

Company Information

FIRST LIBERTIES FINANCIAL

CRD#: 14432

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