Ellen T. Herman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ellen Terri Herman, who also goes by E Terri Herman, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1981. Ellen had worked at 10 firms and has passed the Series 63, SIE and Series 18 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2015 - June 30, 2016
PORTALES PARTNERS, LLC
September 25, 2007 - February 4, 2014
BREAN CAPITAL, LLC
July 29, 2002 - August 27, 2007
W.R. HAMBRECHT + CO., LLC
February 26, 2001 - May 10, 2002
COMMERZ MARKETS LLC
July 28, 1999 - February 26, 2001
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
July 28, 1998 - July 13, 1999
WELLS FARGO CLEARING SERVICES, LLC
March 27, 1986 - May 22, 1998
SBC WARBURG DILLON READ INC.
March 5, 1986 - April 16, 1986
DILLON, READ SECURITIES INC.
April 2, 1982 - January 6, 1986
ROONEY, PACE INC.
February 23, 1981 - April 28, 1982
FAHERTY & FAHERTY INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 18
Date: 2/21/1981
Securities Industry Rules and Regulations ExaminationCurrent Firm
PORTALES PARTNERS, LLC
CRD#: 112311 / SEC#: , 8-53236
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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