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Alan Wayne Herman

Bankers Life Securities, Inc.

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About Alan Wayne Herman

Alan Wayne Herman is a financial advisor based in Toms River, New Jersey, with over 30 years of experience in the financial services industry. Alan is currently registered with Bankers Life Securities, Inc. and has previously held positions at ProEquities, Inc., UVEST Financial Services Group, Inc., AFS Brokerage, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Alexander & Alexander Securities Corp., and Retirement System Distributors Inc.

Firm Information

Alan Herman is currently registered with Bankers Life Securities, Inc.. Bankers Life Securities, Inc. is a corporation formed on July 31, 2014. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. They have one approved SEC registration. The firm has been involved in one regulatory and one civil event.

Not reported

Assets Under Management

Not reported

Total Clients

346

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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Alan Herman’s Registration & Firm History

NJ

05/26/2016 - Present

Bankers Life Securities, Inc. (Toms River NJ)

NJ

06/12/2010 - 05/26/2016

PROEQUITIES, INC. (MARLBORO NJ)

NJ

01/20/2005 - 05/28/2010

UVEST FINANCIAL SERVICES GROUP, INC. (MARLBORO NJ)

TX

06/30/2003 - 01/03/2005

AFS BROKERAGE, INC. (AUSTIN TX)

NY

01/13/1998 - 06/11/2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

TX

09/27/1994 - 06/19/1996

ALEXANDER & ALEXANDER SECURITIES CORP. (HOUSTON TX)

NY

08/01/1990 - 06/15/1994

RETIREMENT SYSTEM DISTRIBUTORS INC. (WHITE PLAINS NY)

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Licenses & Designations

BC

Issued 05/10/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/06/1990

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/24/1998

Series 7 - General Securities Representative Examination

BC

Issued 07/12/1990

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Alan Wayne Herman. Review regulatory record here.
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