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HS

Herman F. Schroeder

BROOKLYN, NY 11021
Some features on this profile are disabled
CRD#: 6184779
HS

Professional summary

Herman Friedrich Schroeder, who also goes by Herman Schroeder, was a registered financial advisor .

Herman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Herman had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Herman Schroeder

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 31, 2025 - Present

Office #1: 398 Henry Street, Brooklyn, NY 11021
BROOKLYN, NY
Past

August 23, 2014 - December 9, 2016

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New York
(10/31/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/11/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/9/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/23/2014
Investment Banking Registered Representative Examination

Current firm

No current employment

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.

Company Information

No current employment

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