Edward D. Herko
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.
Edward David Herko, who also goes by Edward D Herko, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2000. Edward had worked at 4 firms and has passed the Series 63, Series 79TO, 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
July 14, 2020 - February 24, 2025
UNICREDIT CAPITAL MARKETS LLC
July 30, 2013 - October 3, 2018
RBC CAPITAL MARKETS, LLC
August 20, 2010 - October 2, 2012
DEUTSCHE BANK SECURITIES INC.
September 3, 2004 - August 16, 2010
CITIGROUP GLOBAL MARKETS INC.
October 10, 2000 - December 31, 2002
CITIGROUP GLOBAL MARKETS INC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
UNICREDIT CAPITAL MARKETS LLC
CRD#: 7789 / SEC#: , 8-23081
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
