Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Herity is an experienced financial professional with over 18 years of experience in the industry. Thomas has held positions at various firms including R. F. Lafferty & Co., Inc., Rothschild Lieberman LLC, HFP Capital Markets LLC, Spartan Capital Securities, LLC, Sloan Securities Corp. and Northeast Securities, Inc. Currently, Thomas is a registered representative with Aegis Capital Corp., a broker-dealer and investment advisor firm. Thomas's areas of expertise include portfolio management for individuals, businesses and pooled investment vehicles. He holds several licenses and certifications including Series 7, Series 24, Series 99TO, Series 82TO and SIE. Thomas is a dedicated professional committed to helping clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
1
2
NY
05/01/2023 - Present
Aegis Capital Corp. (NEW YORK NY)
NY
10/24/2016 - 05/24/2023
R. F. LAFFERTY & CO., INC. (NEW YORK NY)
NY
05/04/2015 - 10/20/2016
ROTHSCHILD LIEBERMAN LLC (New York NY)
NY
09/20/2013 - 05/06/2014
HFP CAPITAL MARKETS LLC (NEW YORK NY)
NY
09/17/2013 - 04/11/2014
HFP CAPITAL MARKETS LLC (NEW YORK NY)
NY
08/15/2012 - 06/10/2013
SPARTAN CAPITAL SECURITIES, LLC (NEW YORK NY)
NJ
01/02/2008 - 05/10/2012
SLOAN SECURITIES CORP. (FORT LEE NJ)
NY
01/02/2003 - 01/03/2008
NORTHEAST SECURITIES, INC. (MITCHEL FIELD NY)
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 08/04/2003
Series 24 - General Securities Principal Examination
BC
Issued 05/01/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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