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AH

Adam J. Herman

RKCA
Clayton, MO 63105
Some features on this profile are disabled
CRD#: 4660286
AH

Professional summary

Adam J Herman is a registered financial professional currently at RKCA, INC. located in Clayton, Missouri.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2021. Adam has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

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) - BD

Click below to view Adam J Herman's CRS (Customer Relationship Summary).
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

October 25, 2021 - Present

RKCA, INC.

Office #1: 7733 Forsyth Blvd. Suite 1200, Clayton, MO 63105Office #2: 1077 Celestial St., Cincinnati, OH 45202
BD
CRD#: 17655
Clayton, MO

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
Missouri
(4/22/2022)
RR
Ohio
(1/18/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/25/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/21/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RKCA, INC.
RIPPE & KINGSTON CAPITAL ADVISORS, INC. | WINTON ASSOCIATES, INC. | RKCA, INC. | RKCA

CRD#: 17655 / SEC#: , 8-35572

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

Main Address
1077 Celestial Street, Cincinnati, OH 45202
Mailing Address
1077 Celestial Street, Cincinnati, OH 45202
Phone number
(513) 371-5533
Established
Ohio since 01/23/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BHATTACHARYA, MONODIP SANKARMANAGING DIRECTOR6589221
COMPTON, THOMAS JOHN IIIMANAGING DIRECTOR6535588
RIPPE, BRENT C.MANAGING DIRECTOR & PRESIDENT5253919
WITT, BRANDON DAVIDPRINCIPAL FINANCIAL OFFICER (FINOP); CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER7903608

Disclosures

Regulatory Event2

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

RKCA, INC.

CRD#: 17655Clayton, MO 63105

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