Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Anthony Herr is a financial professional with over 20 years of experience in the industry. Richard is currently a registered representative at Piper Sandler & Co. in New York, New York. Prior to joining Piper Sandler & Co., Richard was a registered representative at Sandler, O'Neill & Partners, L.P. and Weild & Co. Richard has a strong track record of success in the financial services industry, having held several key positions at leading firms. Richard holds a Series 7, Series 24, Series 63, Series 79, Series 86 and Series 87 licenses.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
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2
NY
01/03/2020 - Present
Piper Sandler & Co. (NEW YORK NY)
NY
12/02/2015 - 01/03/2020
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
NY
07/29/2015 - 12/03/2015
WEILD & CO. (NEW YORK NY)
NJ
07/02/2012 - 10/07/2014
KCG AMERICAS LLC (JERSEY CITY NJ)
NY
10/23/2013 - 06/11/2014
OCTEG, LLC (NEW YORK NY)
NJ
07/12/2010 - 07/02/2012
KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)
NY
05/10/2007 - 05/28/2010
ITG INC. (NEW YORK NY)
NY
06/17/2002 - 05/10/2007
KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)
MO
10/04/2001 - 06/14/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
BC
Issued 08/02/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/08/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2016
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 04/04/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/14/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 10/03/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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