Herman F. Zerweck
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 Frederick Zerweck was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 1965. Herman had worked at 6 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 1988 - January 12, 2001
BIRKELBACH INVESTMENT SECURITIES, INC.
July 1, 1988 - August 9, 1988
ROBERT W. BAIRD & CO. INCORPORATED
December 30, 1980 - July 1, 1988
BMMG CAPITAL CORP.
April 9, 1974 - December 24, 1980
AMERIPRISE ADVISOR SERVICES, INC.
February 24, 1970 - February 15, 1971
MUTUAL SERVICE CORPORATION
March 22, 1965 - December 15, 1974
FIRST DETROIT SECURITIES CORPORATION
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: 9/30/1957
Registered Representative ExaminationCurrent Firm
BIRKELBACH INVESTMENT SECURITIES, INC.
CRD#: 11490 / SEC#: , 8-22772
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARL MAX BIRKELBACH TRUST, | TRUST IS OWNER/SHAREHOLDER OF BD | |
| ZUREK, JAMES T | CCO-TEXAS/ROP | 824892 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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