Oliver D. Herbst
Professional summary
Oliver Dean Herbst is a registered financial professional currently at PARADIGM CAPITAL U.S. INC. .
Oliver is registered as a RR (Registered Representative) and started their career in finance in 1999. Oliver has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Oliver Dean Herbst's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 28, 2020 - Present
PARADIGM CAPITAL U.S. INC.
Office #1: 95 Wellington Street West - Suite 2101, Toronto Ontario, M5J 2N7April 15, 2005 - October 2, 2020
RAYMOND JAMES (USA) LTD.
December 15, 1999 - August 25, 2003
TD SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/28/2020)
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(10/7/2024)
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(11/8/2024)
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(10/7/2024)
(10/30/2020)
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(10/28/2020)
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(10/29/2024)
(10/28/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/26/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
PARADIGM CAPITAL U.S. INC.
CRD#: 104425 / SEC#: , 8-52885
Contact information
FINRA licenses (23 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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