Philip B. Herman
Professional summary
Philip Brian Herman, who also goes by Phillip VIran Herman, is a registered financial professional currently at LORD ABBETT DISTRIBUTOR LLC located in Jersey City, New Jersey.
Philip is registered as a RR (Registered Representative) and started their career in finance in 2000. Philip has worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip Brian Herman's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 10, 2007 - Present
LORD ABBETT DISTRIBUTOR LLC
Office #1: 30 Hudson Street, Jersey City, NJ 07302February 12, 2004 - May 29, 2007
NEUBERGER BERMAN BD LLC
April 1, 2002 - February 12, 2004
NEUBERGER BERMAN MANAGEMENT LLC
August 17, 2000 - December 17, 2001
TUCKER ANTHONY INCORPORATED
August 5, 2000 - September 15, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 11, 2000 - August 5, 2000
GLEACHER & COMPANY SECURITIES, 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
(7/10/2007)
Exams
FINRA
Current Firm
LORD ABBETT DISTRIBUTOR LLC
CRD#: 530 / SEC#: , 8-216
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
