Neil J. 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.
Neil Jeffrey Herman was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1994. Neil had worked at 7 firms and has passed the Series 63, Series 86, Series 87 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
June 3, 2011 - January 31, 2012
TICONDEROGA SECURITIES LLC
January 6, 2010 - June 6, 2011
SOLEIL SECURITIES CORPORATION
June 16, 2006 - July 27, 2007
STANFORD GROUP COMPANY
May 18, 2000 - February 15, 2005
LEHMAN BROTHERS INC.
November 28, 1997 - April 20, 2000
CITIGROUP GLOBAL MARKETS INC.
January 23, 1996 - September 1, 1998
SALOMON BROTHERS INC.
November 16, 1994 - January 4, 1996
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
TICONDEROGA SECURITIES LLC
CRD#: 7671 / SEC#: , 8-22871
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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