Herman T. Uscott
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.
Herman Theodore Uscott, who also goes by Herman T Uscott, was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 1966. Herman had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 1996 - June 15, 1999
NOYES PARTNERS INCORPORATED
July 21, 1988 - June 5, 1996
ROBERT THOMAS SECURITIES, INC
May 29, 1986 - June 1, 1988
PHILIPS, APPEL & WALDEN, INC.
December 1, 1982 - April 3, 1985
UNIFIED SECURITIES CORPORATION
April 13, 1982 - October 20, 1982
ALLEN, ROGERS & CO., INC.
May 23, 1966 - February 7, 1983
KURZ-LIEBOW & COMPANY, 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
Exams
PC
Date: 7/16/1983
AMEX Put and Call ExamSeries 1
Date: 5/30/1958
Registered Representative ExaminationCurrent Firm
NOYES PARTNERS INCORPORATED
CRD#: 10128 / SEC#: , 8-25158
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOYES, JANSEN JR | HONORARY CHAIRMAN, SHAREHOLDER | 603126 |
| BERKERY, JOSEPH WILLIAM SR | SHAREHOLDER | |
| BRENNAN, PETER FREDERICK | PRESIDENT, DIRECTOR, SHAREHOLDER | 1289546 |
| FISHER, SUSAN PATRICE | SHAREHOLDER | 1017323 |
| PALMER, PHILIP JR | SHAREHOLDER | |
| CUSIC, MARIE LOUISE | VICE PRESIDENT, MUNICIPAL PRINCIPAL | 59411 |
| JACOBS, KEVIN GARFIELD | FINOP | 2181880 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
