James R. Hermes
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.
James Richard Hermes, who also goes by Jim Hermes, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2020 - March 23, 2020
FORGE SECURITIES LLC
August 15, 2018 - December 31, 2019
CR CAPITAL DISTRIBUTORS, LLC
June 3, 2016 - June 18, 2018
STRATCAP SECURITIES, LLC
July 26, 2010 - February 22, 2016
FS INVESTMENT SOLUTIONS, LLC
February 11, 2010 - May 21, 2010
SELECT CAPITAL CORPORATION
March 28, 2005 - January 21, 2010
HINES PRIVATE WEALTH SOLUTIONS LLC
September 18, 2000 - February 22, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
September 1, 2000 - February 22, 2005
IDS LIFE INSURANCE COMPANY
September 1, 2000 - February 22, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FORGE SECURITIES LLC
CRD#: 134596 / SEC#: , 8-66846
Contact information
FINRA licenses (53 States and Territories)
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.
