Milton 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.
Milton Joseph Herman JR was a registered financial professional .
Milton is a previously registered financial professional and started their career in finance in 1973. Milton had worked at 11 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 1991 - December 31, 1996
GLOBAL CAPITAL SECURITIES CORPORATION
October 31, 1990 - May 24, 1991
AMERICAN FRONTEER FINANCIAL CORPORATION
July 6, 1988 - October 17, 1990
R.B. MARICH, INC.
February 4, 1988 - June 27, 1988
CORNELL SECURITIES, INC.
August 16, 1985 - December 31, 1987
J. W. GANT & ASSOCIATES, INC.
September 20, 1983 - July 29, 1985
NIELSON AND CLARK INC.
December 27, 1978 - September 20, 1983
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
May 28, 1978 - January 22, 1979
AMERICAN WESTERN SECURITIES, INC.
September 12, 1977 - May 28, 1978
AMERICAN WESTERN SECURITIES, INC.
May 20, 1975 - October 10, 1977
PITTMAN & COMPANY, INCORPORATED
December 24, 1973 - July 9, 1975
INTERNATIONAL SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/13/1973
Registered Representative ExaminationCurrent Firm
GLOBAL CAPITAL SECURITIES CORPORATION
CRD#: 16184 / SEC#: , 8-33481
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 31 |
Red Flags
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