Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Herman? Claim Your ProfileHerman Rockefeller is a financial professional with over 5 years of experience in the industry. Herman is currently registered with Tradition Securities And Derivatives LLC and holds a Series 3, Series 7TO, Series 24, and Series 57 licenses. Herman's previous employers include BNP PARIBAS SECURITIES CORP. and AKUNA SECURITIES LLC. Herman specializes in investments and financial planning.
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.
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.
1
2
NY
04/09/2024 - Present
Tradition Securities AND Derivatives LLC (New York NY)
NY
05/11/2022 - 07/13/2023
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
IL
06/07/2018 - 10/20/2021
AKUNA SECURITIES LLC (CHICAGO IL)
BC
Issued 05/25/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2024
Series 24 - General Securities Principal Examination
BC
Issued 04/15/2024
Series 3 - National Commodity Futures Examination
BC
Issued 05/20/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/2018
Series 57 - Securities Trader Exam
Active
Inactive
B
BOX Exchange LLC
F
FINRA
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
Not sure Herman Rockefeller is the right advisor for you? Invested Better is here to help.
