Laurence E. Herman
Professional summary
Laurence Eliot Herman, ChFC®, CLU®, who also goes by Larry Herman, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Laurence is registered as a RR (Registered Representative) and started their career in finance in 1993. Laurence has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Laurence Eliot Herman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2015 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901September 4, 2009 - December 31, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 1, 2005 - December 31, 2005
VOYA FINANCIAL ADVISORS, INC.
July 13, 2001 - January 1, 2005
INTERLINK SECURITIES CORP.
December 2, 1999 - May 3, 2000
TRANSAMERICA SECURITIES SALES CORPORATION
July 27, 1998 - December 31, 2011
PARAGON ADVISORS LLC
January 18, 1993 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, 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
(11/6/2023)
(4/25/2024)
(7/27/2022)
(11/14/2016)
(1/2/2015)
(11/15/2019)
(4/4/2019)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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