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Adam Christopher Herits

SG Americas Securities, LLC

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About Adam Christopher Herits

Adam Herits is a securities professional with over 14 years of experience in the financial services industry. Adam has held positions at several firms including Maxim Group LLC and Heights Partners, Inc. Currently, Adam is a registered representative with SG Americas Securities, LLC. Adam has a strong background in securities trading and operations. He holds the Series 7, Series 57TO, Series 99TO, SIE and Series 63 licenses.

Firm Information

Adam Herits is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Adam Herits’s Registration & Firm History

NY

07/14/2017 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

08/06/2007 - 01/23/2012

MAXIM GROUP LLC (NEW YORK NY)

NY

04/08/2004 - 07/27/2007

HEIGHTS PARTNERS, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/16/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/16/2024

Series 99TO - Operations Professional Examination

BC

Issued 02/04/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/14/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Adam Christopher Herits.
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