Herbert A. Sarkisian
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.
Herbert Arakel Sarkisian JR was a registered financial advisor .
Herbert is a previously registered financial advisor and started their career in finance in 1966. Herbert had worked at 5 firms and has passed the Series 65, Series 63, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 1994 - January 7, 2008
MOORS & CABOT INVESTOR SERVICES INC
October 2, 1978 - May 5, 2006
MOORS & CABOT, INC.
May 8, 1974 - March 23, 1979
HODGDON & COMPANY
August 29, 1973 - June 6, 1974
VP DISTRIBUTORS LLC
April 4, 1966 - October 6, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES 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 1
Date: 4/1/1966
Registered Representative ExaminationF04
Date: 4/26/1975
Financial Principal ExaminationSeries 00
Date: 11/30/1972
General Securities 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.
