Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal T. Herman is a financial professional with over 15 years of experience in the industry. Neal is currently registered with Clsa Americas, LLC as an investment advisor representative and has previously worked with a number of firms including Sanford C. Bernstein & Co., LLC and Cantor Fitzgerald & Co.. Neal is also licensed to sell securities in several states.
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.
Referrals to others; research product & arrangement and referral service
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.
Earned based on transactions or products sold.
Negotiated rates for research product
1
2
NY
07/28/2021 - Present
Clsa Americas, LLC (NEW YORK NY)
NY
05/15/2014 - 07/27/2021
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
11/09/2011 - 12/14/2012
CANTOR FITZGERALD & CO. (NEW YORK NY)
NJ
06/20/2007 - 09/15/2011
KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)
BC
Issued 09/10/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/19/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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