SH
Simcha Herzog
NATWEST MARKETS SECURITIES
Stamford, CT 06901
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CRD#: 5597900
SH
Professional summary
Simcha Herzog is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.
Simcha is registered as a RR (Registered Representative) and started their career in finance in 2018. Simcha has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Simcha Herzog's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 27, 2018 - Present
NATWEST MARKETS SECURITIES INC.
Office #1: 600 Washington Boulevard, Stamford, CT 06901BD
CRD#: 11707
Stamford, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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Alabama(4/16/2019)
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Alaska(4/16/2019)
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Arizona(4/16/2019)
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Arkansas(4/16/2019)
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California(4/16/2019)
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Colorado(12/18/2018)
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Connecticut(4/16/2019)
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Delaware(4/16/2019)
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District of Columbia(12/18/2018)
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Florida(12/18/2018)
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Georgia(4/16/2019)
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Idaho(4/16/2019)
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Illinois(4/16/2019)
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Indiana(4/16/2019)
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Iowa(4/16/2019)
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Kansas(4/16/2019)
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Kentucky(4/16/2019)
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Louisiana(12/18/2018)
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Maryland(12/18/2018)
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Massachusetts(4/16/2019)
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Michigan(4/16/2019)
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Minnesota(4/16/2019)
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Mississippi(4/16/2019)
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Missouri(4/16/2019)
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Montana(4/16/2019)
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Nebraska(4/16/2019)
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Nevada(4/16/2019)
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New Hampshire(4/16/2019)
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New Jersey(4/16/2019)
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New Mexico(4/16/2019)
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New York(4/16/2019)
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North Carolina(4/16/2019)
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North Dakota(4/16/2019)
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Ohio(12/18/2018)
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Oklahoma(4/16/2019)
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Oregon(4/16/2019)
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Pennsylvania(4/16/2019)
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Rhode Island(4/16/2019)
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South Carolina(4/16/2019)
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South Dakota(4/16/2019)
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Tennessee(4/16/2019)
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Texas(4/16/2019)
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Utah(4/16/2019)
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Vermont(4/16/2019)
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Virginia(4/16/2019)
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Washington(4/16/2019)
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West Virginia(4/16/2019)
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Wisconsin(4/16/2019)
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Wyoming(4/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NM
NATWEST MARKETS SECURITIES INC.
GREENWICH CAPITAL MARKETS INC | RBS SECURITIES INC. | RBS GREENWICH CAPITAL | NATWEST MARKETS SECURITIES INC. | NATWEST MARKETS (A MARKETING NAME FOR RBS SECURITIES INC.) | GREENWICH CAPITAL MARKETS, INC.
CRD#: 11707 / SEC#: , 8-37135
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
600 Washington Boulevard, Stamford, CT 06901
Mailing Address
600 Washington Boulevard, Stamford, CT 06901
Phone number
(203) 897-2700
Established
Delaware since 11/07/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
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.
