David J. Herman
Professional summary
David Jeffrey Herman is a registered financial professional currently at HAMILTON GRANT LLC located in Los Angeles, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Jeffrey Herman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2016 - Present
HAMILTON GRANT LLC
Office #1: 1875 Century Park East, Suite 1230, Los Angeles, CA 90067July 20, 2011 - January 29, 2016
AARON CAPITAL INCORPORATED
November 11, 2009 - July 19, 2011
XNERGY FINANCIAL LLC
April 13, 2005 - May 15, 2009
MOSAIC CAPITAL SECURITIES, LLC
July 9, 2003 - March 25, 2004
ANGELES CAPITAL GROUP, LLC
December 10, 1997 - May 10, 2001
HOULIHAN LOKEY CAPITAL, 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
(1/21/2016)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HAMILTON GRANT LLC
CRD#: 166180 / SEC#: , 8-69192
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| XEEN, LLC | MEMBER | |
| KEBETS, VADIM | MEMBER | 6141170 |
| KOCHAVI, DORON | MEMBER | 1011155 |
| KUO, ANDREW C | MEMBER | 4415637 |
| LEE, BONNY SY | MEMBER | 2486522 |
| O'CONNELL, THOMAS MICHAEL | MEMBER | 2529442 |
| REA, WENDY AUSTIN | MEMBER | 724857 |
| VIKHLYAEV, ALEXANDER | MEMBER; MEMBER BOARD OF MANAGERS | 7278312 |
| BIZUB, DONALD MICHAEL | CEO | 1600090 |
| COLLETT, DAVID WENDALL | VP, CFO | 2352407 |
| KAISER, BRADLEY CLIFFORD | CCO | 2523397 |
| MORRIS, JOHN M | CHAIRMAN, BOARD OF MANAGERS | 1655987 |
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.
