Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Henry? Claim Your ProfileHenry Hermann is an active advisor registered in California and Texas. Henry has been in the industry since January 21, 1986, and currently works for Merrill Lynch, Pierce, Fenner & Smith Inc. Henry is registered as a securities agent (BC) and investment advisor representative (IA) in multiple states. Henry is a specialist in a variety of investments including fixed income, equities, mutual funds, options and futures. Henry has a diverse range of client types including individuals, high net worth individuals, corporations, charitable organizations, insurance companies, and pension plans.
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
NY
02/04/1986 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
IA
Issued 03/17/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/28/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2007
Series 3 - National Commodity Futures Examination
BC
Issued 06/22/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/18/1986
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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