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For Advisors
AP

A J. Pleiman

HEROLD & LANTERN INVESTMENTS
Melville, NY 11747
Some features on this profile are disabled
CRD#: 364549
AP

Professional summary

A Joseph Pleiman, who also goes by Arthur Joseph Pleiman, Joseph Pleiman, is a registered financial professional currently at HEROLD & LANTERN INVESTMENTS, INC. located in Melville, New York.

A is registered as a RR (Registered Representative) and started their career in finance in 1971. A has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 5, PC and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Arthur Joseph Pleiman | Joseph Pleiman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view A Joseph Pleiman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 3, 2022 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747
BD
CRD#: 30996
Melville, NY
Past

September 10, 2012 - December 3, 2021

PFLUEGER & BAERWALD INC.

RIA
CRD#: 3023
KENSINGTON, MD
Past

September 7, 2012 - March 31, 2022

PFLUEGER & BAERWALD INC.

BD
CRD#: 3023
SAN FRANCISCO, CA
Past

June 1, 2009 - September 21, 2012

MORGAN STANLEY

RIA
CRD#: 149777
BETHESDA, MD
Past

June 1, 2009 - September 21, 2012

MORGAN STANLEY

BD
CRD#: 149777
BETHESDA, MD
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BETHESDA, MD
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BETHESDA, MD
Past

October 9, 1991 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BETHESDA, MD
Past

February 24, 1978 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
BETHESDA, MD
Past

May 16, 1973 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466
Past

February 4, 1972 - May 16, 1973

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 209
Past

May 21, 1971 - February 12, 1972

DERAND/PENNINGTON/BASS, INC.

BD
CRD#: 4679

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(1/14/2025)
RR
District of Columbia
(4/3/2022)
RR
Florida
(1/14/2025)
RR
Indiana
(1/14/2025)
RR
Iowa
(4/3/2022)
RR
Maryland
(4/3/2022)
RR
Massachusetts
(4/3/2022)
RR
North Carolina
(4/3/2022)
RR
Ohio
(4/4/2022)
RR
Pennsylvania
(1/3/2023)
RR
Texas
(4/3/2022)
RR
Virginia
(4/3/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/19/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
PC
Date: 2/6/1979
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 5/19/1971
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HEROLD & LANTERN INVESTMENTS, INC.
HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Phone number
(631) 454-2000
Established
Delaware since 08/28/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.OWNER
HEROLD, LAWRENCE STEPHENCHIEF OPERATING OFFICER/FINOP870531
LANTON, KEITH MICHAELPRESIDENT1703378
SHEFTEL, WENDY DIANECHIEF COMPLIANCE OFFICER2300282

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.

Company Information

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996Melville, NY 11747

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