Herald S. Piper
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.
Herald Shively Piper, who also goes by Bud Piper, was a registered financial professional .
Herald is a previously registered financial professional and started their career in finance in 1968. Herald had worked at 3 firms and has passed the Series 63, Series 15, Series 5, Series 1, Series 4, Series 12 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
July 29, 1974 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 29, 1974 - October 19, 1995
UBS FINANCIAL SERVICES INC.
December 6, 1968 - July 19, 1974
SHEARSON, HAMMILL & CO., 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
Series 15
Date: 6/5/1984
Foreign Currency Options ExaminationSeries 5
Date: 11/9/1981
Interest Rate Options ExaminationSeries 1
Date: 12/2/1968
Registered Representative ExaminationSeries 12
Date: 6/27/1974
NYSE Branch Manager ExaminationSeries 40
Date: 2/23/1972
Registered Principal ExaminationCurrent firm
No current employment
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.
