Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Christopher Herman has been in the financial services industry since 2004. He is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since September 2022. Prior to that, Charles worked for Fidelity Brokerage Services LLC, Old Mutual Investment Partners, MMC Securities Corp., and Putnam Retail Management Limited Partnership. Charles has a wide range of experience and expertise in the financial services industry and is committed to providing his clients with personalized advice and guidance. Charles has a proven track record of success in helping his clients achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
MA
01/17/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Hull MA)
MA
12/12/2011 - 01/31/2022
FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)
MA
06/17/2008 - 06/03/2011
OLD MUTUAL INVESTMENT PARTNERS (BOSTON MA)
MA
01/01/2005 - 06/11/2007
MMC SECURITIES CORP. (NORWOOD MA)
MA
03/19/2002 - 01/01/2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
BOTH
Issued 12/02/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/21/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/14/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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