Melvin L. 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.
Melvin Leonard Herman was a registered financial professional .
Melvin is a previously registered financial professional and started their career in finance in 1970. Melvin had worked at 7 firms and has passed the Series 63, SIE, Series 5, Series 000, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 1997 - October 15, 2015
GILFORD SECURITIES INCORPORATED
July 1, 1994 - September 9, 1997
HAMPSHIRE SECURITIES CORPORATION
January 3, 1984 - July 12, 1994
ADVEST, INC.
October 23, 1981 - January 10, 1984
PRUDENTIAL EQUITY GROUP, LLC
October 4, 1978 - November 22, 1982
BRUNS, NORDEMAN, REA & CO.
January 14, 1971 - November 3, 1978
L. F. ROTHSCHILD & CO. INCORPORATED
May 19, 1970 - February 18, 1971
REYNOLDS SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 000
Date: 11/27/1967
General Securities Principal ExaminationSeries 1
Date: 11/27/1967
Registered Representative ExaminationSeries 40
Date: 11/2/1978
Registered Principal ExaminationCurrent Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
Red Flags
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