AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JH

James D. Herzog

AMVEST CAPITAL SECURITIES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 6711076
JH

Professional summary

James Donald Herzog, who also goes by Don Herzog, is a registered financial professional currently at AMVEST CAPITAL SECURITIES LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2017. James has worked at 3 firms and has passed the SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Don Herzog

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 James Donald 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®
None

Experience

Current

September 23, 2025 - Present

AMVEST CAPITAL SECURITIES LLC

Office #1: 570 Lexington Avenue 37th Floor, New York, NY 10022
BD
CRD#: 329978
NEW YORK, NY
Past

May 13, 2020 - October 15, 2021

FINPOSTFIN LLC

BD
CRD#: 297463
NEW YORK, NY
Past

January 1, 2017 - September 16, 2025

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/29/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
AMVEST CAPITAL SECURITIES LLC
AMVEST CAPITAL SECURITIES LLC

CRD#: 329978 / SEC#: , 8-71218

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
570 Lexington Avenue 37th Floor, New York, NY 10022
Mailing Address
570 Lexington Avenue 37th Floor, New York, NY 10022
Phone number
+1 (212) 970-1963
Established
Delaware since 01/12/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AMVEST CAPITAL SECURITIES HOLDINGS INC.DIRECT OWNER
ALONSO MENDOZA, GABRIEL EMILIOCHIEF EXECUTIVE OFFICER, GSP5771610
BYRNE, JOHN MICHAEL JRCHIEF COMPLIANCE OFFICER1255284
OKEEFE, TRACIE ERINFINANCIAL AND OPERATIONS PRINCIPAL5924814
WIGAND, JENNIFERCHIEF OPERATING OFFICER, GSP5900477

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

AMVEST CAPITAL SECURITIES LLC

CRD#: 329978New York, NY 10022

TRUST BUT VERIFY

Monitor James Herzog

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics