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David Justin Herrmann

CTC, LLC

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About David Justin Herrmann

David Justin Herrmann is a financial professional with over 17 years of experience in the financial services industry. David is currently registered with CTC, LLC. Prior to joining CTC, LLC, David worked at MORGAN STANLEY & CO. LLC, KNIGHT LIBERTAS LLC, BARCLAYS CAPITAL INC. and LEHMAN BROTHERS INC. David has a broad range of experience in the financial services industry, and is dedicated to providing his clients with personalized financial advice.

Firm Information

David Herrmann is currently registered with CTC, LLC. CTC, LLC is a Limited Liability Company that was formed on January 2, 1998. The firm has been approved for SEC registration and has a history of 17 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

193

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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David Herrmann’s Registration & Firm History

IL

11/04/2020 - Present

CTC, LLC (CHICAGO IL)

IL

02/03/2010 - 08/18/2020

MORGAN STANLEY & CO. LLC (CHICAGO IL)

IL

11/17/2008 - 01/21/2010

KNIGHT LIBERTAS LLC (CHICAGO IL)

IL

09/22/2008 - 11/20/2008

BARCLAYS CAPITAL INC. (CHICAGO IL)

IL

10/01/2003 - 09/22/2008

LEHMAN BROTHERS INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 12/12/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/12/2016

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/17/2016

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/30/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

Disclosures

There is public disclosure for David Justin Herrmann. Review regulatory record here.
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