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Mark William Herrmann

IRC Securities LLC

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About Mark William Herrmann

Mark Herrmann is a financial professional with over 20 years of experience in the securities industry. Mark is currently registered with IRC Securities LLC in New York, NY. Mark has held previous positions with Oppenheimer & Co. Inc., BB&T Securities, LLC, Scott & Stringfellow, LLC, Bear, Stearns & Co. Inc., PaineWebber Incorporated, and Baraban Securities, Inc.. Mark holds the Series 7, 7TO, 63, 86, 87, and SIE licenses. Mark is registered in California and is an active broker-dealer.

Firm Information

Mark Herrmann is currently registered with IRC Securities LLC. IRC Securities LLC is a Limited Liability Company formed in June 2008. The firm is registered in California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, New Jersey, New York, Ohio, Oregon, Tennessee, Texas, and Virginia, as well as with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

35

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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Mark Herrmann’s Registration & Firm History

NY

05/03/2021 - Present

IRC Securities LLC (NEW YORK NY)

CA

05/14/2013 - 06/03/2015

OPPENHEIMER & CO. INC. (SAN FRANCISCO CA)

CA

01/02/2013 - 05/21/2013

BB&T SECURITIES, LLC (SAN FRANCISCO CA)

CA

06/11/2008 - 01/02/2013

SCOTT & STRINGFELLOW, LLC (SAN FRANCISCO CA)

CA

03/25/1999 - 12/12/2007

BEAR, STEARNS & CO. INC. (SAN FRANCISCO CA)

NJ

07/28/1997 - 11/10/1998

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

CA

10/16/1995 - 12/09/1996

BARABAN SECURITIES, INC. (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 03/26/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/31/2022

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/05/2022

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 05/01/2021

Series 7TO - General Securities Representative Examination

BC

Issued 03/19/2021

SIE - Securities Industry Essentials Examination

BC

Issued 10/13/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark William Herrmann.
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