Franklin S. Herrman
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.
Franklin Sanders Herrman was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 1970. Franklin had worked at 15 firms and has passed the Series 63, Series 55, PC, 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
September 16, 2004 - December 13, 2005
HAMERSHLAG, DODELES & CO., LLC
October 6, 2003 - September 22, 2004
BERRY-SHINO SECURITIES, INC.
April 23, 2002 - September 24, 2003
AXIOM CAPITAL MANAGEMENT, INC.
May 1, 2001 - April 11, 2002
SCHONFELD SECURITIES, LLC
June 28, 1999 - April 26, 2001
AXIOM CAPITAL MANAGEMENT, INC.
February 5, 1999 - May 6, 1999
DRAKE & COMPANY, INC.
May 12, 1998 - February 5, 1999
PARAGON CAPITAL MARKETS, INC.
July 9, 1997 - May 5, 1998
HORNBLOWER & WEEKS, INC.
July 25, 1996 - June 26, 1997
NATIONAL SECURITIES CORPORATION
March 8, 1995 - July 10, 1996
COLEMAN & COMPANY SECURITIES, INC.
January 3, 1990 - February 16, 1995
GRUNTAL & CO., L.L.C.
January 6, 1981 - December 19, 1989
ABNER HERRMAN & BROCK, LLC
August 31, 1977 - February 9, 1981
KUHNS BROTHERS & LAIDLAW, INC.
February 13, 1973 - October 13, 1977
LEGG MASON WOOD WALKER, INCORPORATED
July 28, 1972 - February 20, 1973
SEIDLITZ AND COMPANY INC
August 27, 1970 - August 19, 1972
CHARTERED NEW ENGLAND CORPORATION
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 55
Date: 7/2/2001
Limited Representative-Equity Trader ExamPC
Date: 4/24/1995
AMEX Put and Call ExamSeries 1
Date: 9/2/1966
Registered Representative ExaminationCurrent Firm
HAMERSHLAG, DODELES & CO., LLC
CRD#: 2117 / SEC#: , 8-2404
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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