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DH

Daniel K. Herman

Some features on this profile are disabled
CRD#: 4511220
DH

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.

Daniel Kyle Herman was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2002. Daniel had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 14, 2023 - October 1, 2025

HILCO CORPORATE FINANCE, LLC

BD
CRD#: 282060
New York, NY
Past

March 31, 2021 - July 3, 2023

FRONTIER SECURITIES

BD
CRD#: 136102
RICHMOND, VA
Past

June 22, 2017 - April 10, 2019

BRG CAPSTONE CAPITAL ADVISORS

BD
CRD#: 282519
NASHVILLE, TN
Past

September 28, 2006 - July 18, 2016

MILLER BUCKFIRE & CO., LLC

BD
CRD#: 104156
HOUSTON, TX
Past

April 4, 2002 - October 22, 2004

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/2015
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: 4/3/2002
General Securities Representative Examination

Current Firm

HC
HILCO CORPORATE FINANCE, LLC
HILCO CORPORATE FINANCE, LLC

CRD#: 282060 / SEC#: , 8-69699

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

Main Address
401 N. Michigan Avenue Suite 1630, Chicago, IL 60611
Mailing Address
401 N. Michigan Avenue Suite 1630, Chicago, IL 60611
Phone number
(847) 504-3270
Established
Delaware since 03/09/2015
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HILCO VALUATION SERVICES, LLCMEMBER
HOPKINS, THOMAS JOHNFINOP1835087
KAUP, ERIC WARDSECRETARY AND GENERAL COUNSEL6584047
STRATTON, TERICEO4379087
WEST, TAMI LYNNCCO, AMLCO4209335

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

HILCO CORPORATE FINANCE, LLC

CRD#: 282060

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