Evan F. Herman
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.
Evan F Herman, who also goes by Evan Franklin Herman, was a registered financial professional .
Evan is a previously registered financial professional and started their career in finance in 2007. Evan had worked at 4 firms and has passed the Series 66 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
June 21, 2012 - December 17, 2012
WEALTHFORGE SECURITIES, LLC
June 1, 2009 - July 19, 2010
MORGAN STANLEY
June 1, 2009 - July 19, 2010
MORGAN STANLEY
November 19, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 19, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 18, 2007 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2007 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
WEALTHFORGE SECURITIES, LLC
CRD#: 152550 / SEC#: , 8-68464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
