Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Herman? Claim Your ProfileHerman B. Sanders III is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Herman has been in the financial services industry since 1993 and is currently registered with the state of Alabama as both a broker-dealer and investment advisor. Herman has worked with Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC in the past. He has a broad range of experience and certifications, including Series 6, 7, 63 and 65 licenses. Herman is also a licensed investment advisor representative in Alabama, Florida, Georgia, Kansas, South Carolina and Tennessee.
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
AL
10/09/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BIRMINGHAM AL)
AL
01/05/2009 - 10/20/2020
WELLS FARGO CLEARING SERVICES, LLC (BIRMINGHAM AL)
AL
04/02/2007 - 01/07/2009
MORGAN STANLEY & CO. INCORPORATED (BIRMINGHAM AL)
AL
03/26/2002 - 04/02/2007
MORGAN STANLEY DW INC. (BIRMINGHAM AL)
NY
12/24/1997 - 04/03/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
03/01/1996 - 10/22/1997
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NA
07/13/1993 - 03/01/1996
G. R. PHELPS & CO., INC.
IA
Issued 01/20/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/09/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/1997
Series 7 - General Securities Representative Examination
BC
Issued 07/09/1993
Series 6 - Investment Company Products/Variable Contracts 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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