Neal T. Herman
Professional summary
Neal T Herman, who also goes by Neal Thomson Herman, is a registered financial professional currently at CLSA AMERICAS, LLC located in New York, New York.
Neal is registered as a RR (Registered Representative) and started their career in finance in 2007. Neal has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neal T Herman's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 28, 2021 - Present
CLSA AMERICAS, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036May 15, 2014 - July 27, 2021
SANFORD C. BERNSTEIN & CO., LLC
November 9, 2011 - December 14, 2012
CANTOR FITZGERALD & CO.
June 20, 2007 - September 15, 2011
KNIGHT CAPITAL AMERICAS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/28/2021)
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/14/2007
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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