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Laurence Eliot Herman

THE Leaders Group, Inc.

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About Laurence Eliot Herman

Laurence Eliot Herman is an experienced financial professional with over 30 years in the industry. Laurence is currently registered with The Leaders Group, Inc. in Littleton, CO. Prior to that, Laurence worked at Transamerica Financial Advisors, Inc., ING Financial Partners, Inc., Interlink Securities Corp., and Transamerica Securities Sales Corporation. Laurence is licensed to provide investment advice in multiple states, including Alaska, Arizona, California, Florida, Illinois, Ohio, and Wisconsin. Laurence holds the Series 7, Series 24, Series 63 and Series 65 licenses, along with the SIE exam.

Firm Information

Laurence Herman is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

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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Laurence Herman’s Registration & Firm History

CO

01/02/2015 - Present

THE Leaders Group, Inc. (LITTLETON CO)

IL

09/04/2009 - 12/31/2014

TRANSAMERICA FINANCIAL ADVISORS, INC (OAKBROOK IL)

IL

01/18/1993 - 09/04/2009

TRANSAMERICA FINANCIAL ADVISORS, INC. (OAKBROOK IL)

IL

01/01/2005 - 12/31/2005

ING FINANCIAL PARTNERS, INC. (OAK BROOK IL)

CA

07/13/2001 - 01/01/2005

INTERLINK SECURITIES CORP. (WOODLAND HILLS CA)

CA

12/02/1999 - 05/03/2000

TRANSAMERICA SECURITIES SALES CORPORATION (LOS ANGELES CA)

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Licenses & Designations

IA

Issued 02/10/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/12/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/04/2001

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/08/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Laurence Eliot Herman.
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