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711 3Rd Avenue Suite 1802, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-10-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 02/2018 | 07/2022 |
| Mufg | Jersey City | NJ | 12/2013 | 02/2018 |
| Bank Of America, N.A. | New York | NY | 05/2018 | 07/2022 |
| Mml Investors Services, Llc | Shelton | CT | 08/2022 | 10/2022 |
| Mass Mutual Insurance Company | Shelton | CT | 08/2022 | 10/2022 |
| Herold Advisors, Inc. | New York | NY | 10/2022 | Present |
| Herold & Lantern Investments, Inc. | Staten Island | NY | 10/2022 | Present |
REGISTERED AS A REGISTERED INVESTMENT ADVISOR WITH HEROLD ADVISORS LOCATED AT 845 3RD AVE SUITE 1703 NY NY 10022. ANTICIPATE SPENDING APPROXIMATELY 5 HOURS/MONTH MOST OF WHICH DURING SECURITIES TRADING HOURS. DUTIES INVOLVE SALES AS A REGISTERED INVESTMENT ADVISOR.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-06 |
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