Herman E. Jaehne
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.
Herman Ellis Jaehne JR, who also goes by Skip Jaehne, was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 1970. Herman had worked at 9 firms and has passed the Series 63, PC, Series 5, 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
December 4, 1997 - November 1, 1999
BAXTER BANKS & SMITH, LTD.
February 5, 1997 - September 5, 1997
BRAUER & ASSOCIATES, INC.
July 2, 1996 - July 29, 1996
SII INVESTMENTS, INC.
May 3, 1985 - March 23, 1995
PRUDENTIAL EQUITY GROUP, LLC
March 22, 1985 - March 23, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 20, 1979 - April 19, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 1979 - August 12, 1979
LEHMAN BROTHERS INC.
March 3, 1978 - March 22, 1979
ALL AMERICAN MANAGEMENT CORPORATION
June 7, 1976 - February 26, 1978
R. ROWLAND & CO., INCORPORATED
February 9, 1970 - July 5, 1976
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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
PC
Date: 4/16/1985
AMEX Put and Call ExamSeries 5
Date: 11/13/1981
Interest Rate Options ExaminationSeries 1
Date: 5/28/1968
Registered Representative ExaminationSeries 40
Date: 7/14/1973
Registered Principal ExaminationCurrent Firm
BAXTER BANKS & SMITH, LTD.
CRD#: 40771 / SEC#: , 8-49185
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 17 |
Red Flags
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