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JH

Jonathan A. Hermann

EQUITYBEE SECURITIES
PALO ALTO, CA 94301
Some features on this profile are disabled
CRD#: 6407585
JH

Professional summary

Jonathan Allan Hermann is a registered financial professional currently at EQUITYBEE SECURITIES, LLC located in Palo Alto, California.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2015. Jonathan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Allan Hermann's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 17, 2022 - Present

EQUITYBEE SECURITIES, LLC

Office #1: 955 Alma Street. Suite B, Palo Alto, CA 94301
BD
CRD#: 41896
PALO ALTO, CA
Past

August 19, 2021 - October 26, 2021

AXOS CLEARING LLC

BD
CRD#: 117176
CENTENNIAL, CO
Past

February 24, 2020 - December 31, 2020

E*TRADE SECURITIES LLC

BD
CRD#: 29106
Centennial, CO
Past

September 22, 2017 - February 20, 2019

GOLDMAN SACHS CUSTODY SOLUTIONS

BD
CRD#: 48015
Colorado Springs, CO
Past

December 19, 2016 - September 5, 2017

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

October 12, 2015 - September 5, 2017

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

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

RR
California
(2/17/2022)
RR
Colorado
(2/17/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EQUITYBEE SECURITIES, LLC
EQUITYBEE SECURITIES, LLC | HMI INVESTMENTS, LTD. | HAMILTON MILLER INVESTMENTS, LLC

CRD#: 41896 / SEC#: , 8-49621

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
955 Alma Street. Suite B, Palo Alto, CA 94301
Mailing Address
955 Alma Street. Suite A, Palo Alto, CA 94301
Phone number
(650) 847-1149
Established
Delaware since 03/04/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EQUITYBEE INC.PARENT
DANIELS, RICHARD MATTHEWFINOP/PFO/POO5877964
KAISER, MICHELLE AMBROSIOCHIEF EXECUTIVE OFFICER5880443
WADE, MITCHELLCHIEF COMPLIANCE OFFICER6516098

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

EQUITYBEE SECURITIES, LLC

CRD#: 41896Palo Alto, CA 94301

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