Gregory F. Herbert
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.
Gregory Francis Herbert was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1976. Gregory had worked at 8 firms and has passed the Series 63, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 1984 - May 21, 1985
KENNEY & BRANISEL MUNICIPALS, INC.
February 16, 1983 - May 7, 1985
PARR SECURITIES CORP.
January 2, 1981 - October 14, 1982
THE CHICAGO CORPORATION
November 10, 1980 - January 15, 1981
RODMAN & RENSHAW INC.
December 18, 1979 - September 4, 1981
STUART BROTHERS
October 25, 1979 - November 18, 1985
JSC SECURITIES, INC.
January 25, 1977 - January 29, 1978
SHEARSON HAYDEN STONE INC.
June 25, 1976 - January 31, 1977
DEAN WITTER & CO. 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 5
Date: 10/19/1981
Interest Rate Options ExaminationCurrent Firm
KENNEY & BRANISEL MUNICIPALS, INC.
CRD#: 11112 / SEC#: , 8-28267
Contact information
Documents
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.
