David T. 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.
David Theodore Herman JR, who also goes by David T Herman Jr, David Theodore Herman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2021 - January 24, 2022
ARKADIOS CAPITAL
September 26, 2017 - April 5, 2021
TRIAD ADVISORS LLC
February 7, 2017 - October 10, 2017
AVANTAX INVESTMENT SERVICES, INC.
May 22, 1997 - December 31, 2016
AVANTAX INVESTMENT SERVICES, INC.
November 10, 1994 - April 14, 1997
ADVANTAGE CAPITAL 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
Current Firm
ARKADIOS CAPITAL
CRD#: 282710 / SEC#: , 8-69729
Contact information
FINRA licenses (53 States and Territories)
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.
