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RH

Richard A. Hermann

SILVER LEAF PARTNERS
New York, NY 10019
Some features on this profile are disabled
CRD#: 4352872
RH

Professional summary

Richard Arthur Hermann, who also goes by Richard Arthur Hermann Mr., is a registered financial professional currently at SILVER LEAF PARTNERS, LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2003. Richard has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Arthur Hermann Mr.

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) - BD

Click below to view Richard Arthur Hermann's 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®
None

Experience

Current

January 2, 2008 - Present

SILVER LEAF PARTNERS, LLC

Office #1: 3 Columbus Circle Floor 15, New York, NY 10019
BD
CRD#: 126694
New York, NY
Past

December 5, 2003 - January 16, 2008

HFV INVESTMENTS, LLC

BD
CRD#: 47771
DALLAS, TX

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/9/2008)
RR
New York
(10/9/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/22/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SL
SILVER LEAF PARTNERS, LLC
SILVER LEAF PARTNERS, LLC

CRD#: 126694 / SEC#: , 8-65902

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle Floor 15, New York, NY 10019
Mailing Address
3 Columbus Circle Floor 15, New York, NY 10019
Phone number
(212) 632-8421
Established
New York since 01/15/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
KHAN, M. FYZULCEO/CCO/MANAGING MEMBER3103833
LESHER, JAMES ELAMPOO1044046
TAO, BING QINFINOP/PFO6253793

Disclosures

Regulatory Event1

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

SILVER LEAF PARTNERS, LLC

CRD#: 126694New York, NY 10019

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