Philip J. Hermann
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.
Philip James Hermann was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2007. Philip had worked at 8 firms and has passed the Series 66, 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
May 11, 2015 - June 18, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 8, 2015 - June 18, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2015 - April 24, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - April 24, 2015
CAPITAL ONE INVESTING, LLC
April 28, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
April 25, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
November 8, 2011 - May 21, 2012
M&T SECURITIES, INC.
November 8, 2011 - May 21, 2012
M&T SECURITIES, INC.
July 28, 2008 - November 2, 2010
M&T SECURITIES, INC.
July 28, 2008 - November 2, 2010
M&T SECURITIES, INC.
March 8, 2007 - February 19, 2008
T. ROWE PRICE ADVISORY SERVICES, INC.
February 6, 2007 - February 19, 2008
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
