Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Angel? Claim Your ProfileAngel Herman is an active investment advisor representative with UBS Financial Services Inc. Angel is registered with the state of North Carolina. Angel has been in the industry since February 5, 2006 and has worked with several firms including LPL Financial LLC, Morgan Stanley & Co., Incorporated, and Morgan Stanley DW Inc. Angel Herman has a combined total of 10 approved securities registrations.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NC
07/23/2014 - Present
UBS Financial Services Inc. (WINSTON-SALEM NC)
NC
12/12/2008 - 08/28/2012
LPL FINANCIAL LLC (WINSTON-SALEM NC)
NC
04/02/2007 - 10/18/2007
MORGAN STANLEY & CO., INCORPORATED (WINSTON-SALEM NC)
NC
09/22/2006 - 04/02/2007
MORGAN STANLEY DW INC. (WINSTON-SALEM NC)
SC
11/26/2004 - 03/09/2005
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NC
02/27/2002 - 03/31/2004
BB&T INVESTMENT SERVICES, INC. (CHARLOTTE NC)
MN
04/11/2000 - 07/23/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/11/2000 - 07/23/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 04/18/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 04/10/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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