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Herman L. Rij

QUADRANT PRIVATE WEALTH MANAGEMENT
Center Valley, PA 18034
Some features on this profile are disabled
CRD#: 376692
HR

Professional summary

Herman Lubomir Rij, CIMA® is a registered financial advisor currently at QUADRANT PRIVATE WEALTH MANAGEMENT, LLC located in Center Valley, Pennsylvania.

Herman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. Herman has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 5, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Herman Lubomir Rij'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

August 14, 2015 - Present

QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

Office #1: 3850 Sierra Circle Ste 300, Center Valley, PA 18034
RIA
CRD#: 277044
Center Valley, PA
Past

May 2, 2014 - August 28, 2015

QUADRANT PRIVATE WEALTH, LLC

RIA
CRD#: 169609
BETHLEHEM, PA
Past

May 2, 2014 - December 31, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Bethlehem, PA
Past

December 6, 1996 - May 6, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BETHLEHEM, PA
Past

April 1, 1980 - May 6, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BETHLEHEM, PA
Past

March 7, 1978 - February 15, 1980

LEGG MASON WARREN YORK, INC.

BD
CRD#: 873
Past

March 24, 1971 - April 4, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572
Past

July 8, 1969 - August 3, 1971

ANDREW T LOVE ASSOC., INC.

BD
CRD#: 4021

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
QP
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC
QUADRANT CAPITAL LLC | QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 277044 / SEC#: 801-106484

RIA
Registered Investment Advisory firm - (7/1/2015 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Pennsylvania
(8/14/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/5/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/27/1981
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 31
Date: 9/25/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 5
Date: 9/24/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
PC
Date: 5/2/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 3/19/1971
Registered Representative Examination

Current Firm

QP
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC
QUADRANT CAPITAL LLC | QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 277044 / SEC#: 801-106484

RIA
Registered Investment Advisory firm - (7/1/2015 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3850 Sierra Circle Ste 300, Center Valley, PA 18034
Mailing Address
Phone number
(610) 849-2743
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (20 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR QUADRANT PRIVATE WEALTH MANAGEMENT, LLC (3/25/2025)

Regulatory assets under management

Total Number of Accounts2,764
AUM (Assets Under Management)$ 1,812,482,190

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

QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 277044Center Valley, PA 18034

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