Herbert G. Woller
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 George Woller was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1973. Herbert had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 12 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 1994 - July 25, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
March 15, 1994 - April 5, 1994
MCLAUGHLIN CAPITAL MARKETS, INC.
April 21, 1993 - February 18, 1994
G.R. STUART & COMPANY, INC.
September 18, 1989 - March 11, 1993
FIRST AFFILIATED SECURITIES
May 12, 1989 - August 25, 1989
PFG SECURITIES, INC.
December 6, 1985 - April 22, 1989
UBS FINANCIAL SERVICES INC.
February 24, 1978 - November 27, 1985
MORGAN STANLEY DW INC.
September 18, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
January 17, 1974 - August 8, 1974
BACHE & CO INCORPORATED
April 3, 1973 - February 8, 1974
DUPONT WALSTON, INCORPORATED
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
Series 1
Date: 3/30/1973
Registered Representative ExaminationSeries 12
Date: 4/17/1982
NYSE Branch Manager ExaminationCurrent Firm
FIRST ASSOCIATED SECURITIES GROUP, INC.
CRD#: 20597 / SEC#: , 8-38276
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Red Flags
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