Eric M. 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.
Eric Mark Herman, who also goes by Eli Herman, Eric M Herman, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1994. Eric had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - March 7, 2016
INDEPENDENT FINANCIAL GROUP, LLC
February 18, 2011 - January 6, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
June 10, 2005 - February 11, 2011
QA3 FINANCIAL CORP.
May 13, 2004 - June 9, 2005
CENTAURUS FINANCIAL, INC.
September 30, 2002 - May 13, 2004
FIRST MONTAUK SECURITIES CORP.
August 27, 1997 - April 9, 2002
DEVELOPMENT CORPORATION FOR ISRAEL
March 28, 1996 - April 17, 1996
PASADENA FUND SERVICES, INC.
January 30, 1995 - December 5, 1995
MORGAN STANLEY DW INC.
June 29, 1994 - November 17, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 29, 1994 - November 17, 1994
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
