Frederick J. Herrmann
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.
Frederick Joseph Herrmann, who also goes by Frederick Herrmann, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2007. Frederick had worked at 2 firms and has passed the Series 63, SIE 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
September 23, 2015 - June 3, 2016
TOPEKA CAPITAL MARKETS INC.
August 30, 2007 - June 1, 2015
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
TOPEKA CAPITAL MARKETS INC.
CRD#: 154133 / SEC#: , 8-68610
Contact information
Documents
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.
