Herbert P. Merk
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 P Merk, who also goes by Herbert Peter Merk, Herbert Peter Merk, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 2002. Herbert had worked at 7 firms and has passed the Series 66, SIE, Series 31 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
February 1, 2021 - June 28, 2022
HARRISDIRECT LLC
January 31, 2021 - June 28, 2022
E*TRADE SECURITIES LLC
January 15, 2020 - September 30, 2020
CUSO FINANCIAL SERVICES, L.P.
January 15, 2020 - September 30, 2020
CUSO FINANCIAL SERVICES, L.P.
April 22, 2015 - December 31, 2019
PFS INVESTMENTS INC.
February 4, 2015 - December 31, 2019
PFS INVESTMENTS INC.
June 21, 2006 - January 7, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 21, 2006 - January 7, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 3, 2005 - June 9, 2006
INVEST FINANCIAL CORPORATION
July 21, 2005 - June 9, 2006
INVEST FINANCIAL CORPORATION
October 28, 2002 - July 18, 2003
MORGAN STANLEY DW INC.
September 19, 2002 - July 18, 2003
MORGAN STANLEY DW 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
Current Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
