Emile F. Hertzog
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.
Emile Francis Hertzog, who also goes by Buck Hertzog, Emile Frances Hertzog, was a registered financial professional .
Emile is a previously registered financial professional and started their career in finance in 1970. Emile had worked at 5 firms and has passed the Series 63, SIE, Series 15, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 1993 - September 29, 2015
SILICON VALLEY SECURITIES, INC.
February 26, 1993 - March 22, 1993
SILICON VALLEY SECURITIES, INC.
September 4, 1990 - March 12, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 26, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 15, 1988 - May 5, 1988
LEHMAN BROTHERS INC.
April 23, 1970 - February 15, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 6/22/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/9/1981
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 4/20/1970
Registered Representative ExaminationCurrent Firm
SILICON VALLEY SECURITIES, INC.
CRD#: 23696 / SEC#: , 8-40657
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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