Sterling O. Herrmann
Professional summary
Sterling Orson Herrmann JR, CFP®, who also goes by Sterling O Herrmann, Sterling Orson Herrmann, Sterling Herrmann, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.
Sterling is registered as a RR (Registered Representative) and started their career in finance in 2015. Sterling has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sterling Orson Herrmann JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262December 9, 2022 - November 20, 2025
PRIME CAPITAL FINANCIAL
December 8, 2020 - December 16, 2022
LIBERTY WEALTH ADVISORS, LLC
October 23, 2015 - November 3, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 14, 2015 - November 3, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 7TO
Date: 6/26/2026
General Securities Representative ExaminationFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
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Company Information
VANGUARD MARKETING CORPORATION
CRD#: 7452Charlotte, NC 28262TRUST BUT VERIFY
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