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Stephen Jay Herrmann

Cambridge Investment Research, Inc.

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About Stephen Jay Herrmann

Stephen Jay Herrmann has been in the financial services industry since 1981. Stephen is currently registered with Cambridge Investment Research, Inc. Stephen is licensed in Missouri. Prior to joining Cambridge Investment Research, Inc. Stephen was registered with Century Securities Associates, Inc., Royal Alliance Associates, Inc., Fortis Investors, Inc., John Hancock Mutual Life Insurance Company, John Hancock Distributors, Inc. and North American Management, Inc.

Firm Information

Stephen Herrmann is currently registered with Cambridge Investment Research, Inc.. Cambridge Investment Research, Inc. is a corporation formed in October 1995. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

658

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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Stephen Herrmann’s Registration & Firm History

MO

04/03/2006 - Present

Cambridge Investment Research, Inc. (ST LOUIS MO)

MO

11/25/2003 - 04/03/2006

CENTURY SECURITIES ASSOCIATES, INC. (ST. LOUIS MO)

AZ

09/28/2001 - 10/15/2003

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

MN

11/14/1991 - 10/19/1999

FORTIS INVESTORS, INC. (OAKDALE MN)

MA

03/28/1981 - 12/11/1991

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)

MA

03/28/1981 - 12/31/1990

JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)

NA

09/04/1986 - 03/10/1987

NORTH AMERICAN MANAGEMENT, INC.

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Licenses & Designations

BC

Issued 11/12/1981

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/15/1983

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 03/26/1981

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Jay Herrmann.
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