Thomas J. Herzfeld
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.
Thomas Jay Herzfeld was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 5 firms and has passed the Series 1 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
April 29, 1981 - January 5, 2011
THOMAS J. HERZFELD & CO., INCORPORATED
May 23, 1974 - June 4, 1981
BISHOP, ROSEN & CO., INC.
March 11, 1974 - June 10, 1974
ADVEST, INC.
August 19, 1971 - June 4, 1974
SARTORIUS & CO.
January 26, 1971 - August 2, 1971
CARLINO HERZFELD KEMM & PEDONE
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 12/12/1968
Registered Representative ExaminationSeries 40
Date: 7/27/1970
Registered Principal ExaminationCurrent Firm
THOMAS J. HERZFELD & CO., INCORPORATED
CRD#: 8633 / SEC#: , 8-25933
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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