Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Herman is a financial professional with over 30 years of experience in the industry. Christopher has been registered with Wells Fargo Clearing Services, LLC since November 2005. Christopher's previous experience includes working with UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Brookstreet Securities Corporation, NationsBanc Securities, Inc., NCNB Securities, Inc., NCNB Texas Securities, Inc., RepublicBank Securities Company, Inc., and The Larmer-Sykes Co., Inc. Christopher holds the Series 7, Series 24, Series 27, Series 53, Series 63, and Series 65 licenses and has passed the SIE exam. Christopher's specializations include equities, fixed income, mutual funds, variable products, and options.
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.
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.
Investment consulting services to institutional clients
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
TX
11/11/2005 - Present
Wells Fargo Clearing Services, LLC (DALLAS TX)
NJ
02/19/1999 - 12/05/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
12/04/1995 - 02/04/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
04/15/1994 - 06/28/1994
BROOKSTREET SECURITIES CORPORATION (SAN JUAN CAPISTRANO CA)
MA
03/10/1992 - 01/12/1993
NATIONSBANC SECURITIES, INC. (BOSTON MA)
MA
04/02/1990 - 10/04/1990
NCNB SECURITIES, INC. (BOSTON MA)
NA
02/03/1986 - 04/02/1990
NCNB TEXAS SECURITIES, INC.
NA
08/14/1987 - 11/06/1987
REPUBLICBANK SECURITIES COMPANY, INC.
NA
10/19/1983 - 09/04/1984
THE LARMER-SYKES CO., INC.
IA
Issued 12/08/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/15/1986
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/14/1986
Series 24 - General Securities Principal Examination
BC
Issued 12/19/1985
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/12/1985
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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