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711 3Rd Avenue Suite 1802, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-11 |
Branch Locations
711 3Rd Avenue Suite 1802, New York, NY 10017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bernard Herold & Co., Inc. | New York | NY | 06/2013 | 11/2020 |
| Locust Advisory Llc | Oceanport | NJ | 10/2012 | Present |
| Locust Development Llc | Rumson | NJ | 10/2012 | 11/2020 |
| Herold & Lantern Investments, Inc. | New York | NY | 11/2020 | Present |
1) LOCUST ADVISORY LLC. Oceanport, NJ. NOT BUSINESS INVESTMENT RELATED. CERTIFIED PUBLIC ACCOUNTING - ADVISORY. Chairman from October 2012. APPROX.10 HOURS/MONTH DEVOTED TO THIS BUSINESS, OF WHICH NONE ARE DURING SECURITIES TRADING HOURS. PROVIDING CONSULTING SERVICES TO CEOs RELATED TO STRATEGIC PLANNING AND BUSINESS PROCESS REENGINEERING. 2) MSL Galleries, LLC. Not investment related. Oceanport, NJ. Artist since 03/2011. Approximately 10 hours/month none of which are during securities trading hours. 3) HEROLD ADVISORS, INC. ( INVESTMENT RELATED), 805 THIRD AVE, NY NY 10022 UPDATE ADV AND BROCHURES (PART II), UPDATE CONTRACTS, SPEND APPROXIMATELY 1 HOUR PER MONTH WHICH ARE DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 1988-11-23 |
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