Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hollis? Claim Your ProfileHollis Lynn Herman is a financial advisor registered with Oppenheimer & Co. Inc. located in Chicago, Illinois. Hollis Lynn has been in the financial industry since March 20, 1986. Prior to joining Oppenheimer & Co. Inc., Hollis Lynn was with Ameriprise Financial Services, Inc. and RBC Capital Markets, LLC. Hollis Lynn Herman holds Series 3, 7, 63, and 65 licenses. Hollis Lynn specializes in investment advisory services and has been registered with the Securities and Exchange Commission (SEC) since February 13, 2019.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
IL
02/13/2019 - Present
Oppenheimer & Co. Inc. (CHICAGO IL)
IL
04/27/2018 - 02/13/2019
AMERIPRISE FINANCIAL SERVICES, INC. (CHICAGO IL)
IL
05/02/2008 - 05/08/2018
RBC CAPITAL MARKETS, LLC (CHICAGO IL)
IL
09/19/2006 - 05/02/2008
CHASE INVESTMENT SERVICES CORP. (HIGHLAND PARK IL)
IL
07/27/2004 - 09/06/2006
LASALLE FINANCIAL SERVICES, INC. (CHICAGO IL)
NE
04/08/2004 - 08/05/2004
ALLSTATE FINANCIAL SERVICES, LLC (LINCOLN NE)
IL
04/17/2002 - 04/13/2004
ABN AMRO FINANCIAL SERVICES, INC. (CHICAGO IL)
MN
10/04/2001 - 04/05/2002
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/04/2001 - 04/05/2002
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IL
08/16/1999 - 09/12/2000
ADVANCED EQUITIES, INC. (CHICAGO IL)
NY
04/23/1998 - 08/27/1999
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NE
04/16/1998 - 04/29/1998
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
MO
10/25/1995 - 04/01/1998
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)
NJ
01/28/1995 - 10/27/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
03/09/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
09/12/1989 - 03/25/1993
LEHMAN BROTHERS INC.
NY
01/23/1985 - 03/25/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
03/14/1988 - 09/16/1989
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
10/16/1987 - 04/14/1988
L. F. ROTHSCHILD & CO. INCORPORATED
IA
Issued 10/17/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/1985
Series 3 - National Commodity Futures Examination
BC
Issued 01/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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