Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Arthur Herman is a financial advisor with over 20 years of experience in the industry. Thomas has a broad background in financial services and is currently registered with Finalis Securities LLC as a Broker-Dealer. Thomas has held previous positions at a variety of firms, including Independent Investment Bankers, Corp., GVC Capital LLC, Gordian Investments, LLC, Growth Capital Services, Inc., MAA - Mentor Alternative Advisors LLC, March Capital Corp., CPIM Securities LLC, Norfolk Markets, LLC, Alliance Fund Distributors, Inc., MetLife Securities Inc., Metropolitan Life Insurance Company, and Walnut Street Securities, Inc. Thomas is a licensed Series 6, 7, 24, 62, 63, 65, 82, and SIE representative. Thomas holds a wide range of industry knowledge, including securities industry essentials, limited representative-private securities offerings, corporate securities limited representative, general securities representative, investment company products/variable contracts representative, general securities principal, uniform securities agent state law examination, and uniform investment adviser law examination. Thomas is registered in Florida and New York.
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.
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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2
NY
07/28/2021 - Present
Finalis Securities LLC (New York NY)
TX
02/14/2019 - 07/26/2021
INDEPENDENT INVESTMENT BANKERS, CORP. (AUSTIN TX)
CO
10/21/2016 - 12/31/2018
GVC CAPITAL LLC (GREENWOOD VILLAGE CO)
CA
12/16/2015 - 09/23/2016
GORDIAN INVESTMENTS, LLC (OREGON HOUSE CA)
DE
01/29/2013 - 11/13/2013
GROWTH CAPITAL SERVICES, INC. (CLAYMONT DE)
CT
07/07/2011 - 12/31/2012
MAA - MENTOR ALTERNATIVE ADVISORS LLC (GREENWICH CT)
IL
06/25/2010 - 06/27/2011
MARCH CAPITAL CORP. (CHICAGO IL)
MA
01/26/2007 - 07/02/2007
CPIM SECURITIES LLC (CONCORD MA)
NY
07/16/2002 - 01/21/2004
NORFOLK MARKETS, LLC (NEW YORK NY)
TN
06/27/1997 - 10/15/1997
ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)
MA
07/20/1995 - 04/21/1997
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
07/20/1995 - 04/21/1997
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
CA
05/19/1992 - 12/02/1994
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
BC
Issued 06/02/2010
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/03/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2015
Series 82 - Limited Representative-Private Securities Offerings
BC
Issued 06/24/2010
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 02/14/2002
Series 7 - General Securities Representative Examination
BC
Issued 05/14/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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