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Erik Mervin Herzfeld

Thomas J. Herzfeld Advisors, Inc.

Miami, FL

CRD 3121564

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Employer firm

Thomas J. Herzfeld Advisors, Inc. CRD 108369

$890M regulatory AUM 1 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • PORTFOLIO MODEL LICENSING

From the firm’s Form ADV. Read the guides:

Current Employers
Thomas J. Herzfeld Advisors, Inc.

119 Washington Avenue Suite 405, Miami Beach, FL 33139 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-12-24
TX RA APPROVED_RES 2008-11-14
  • FL RA
    APPROVED
    Since 2025-12-24
  • TX RA
    APPROVED_RES
    Since 2008-11-14

Branch Locations

10491 Sw 97Th Avenue, Miami, FL 33176 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Thomas J. Herzfeld Advisors, Inc. Miami FL 04/2007 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-30
S63 Uniform Securities Agent State Law Examination 1998-10-07
  • S66 Uniform Combined State Law Examination
    2012-12-30
  • S63 Uniform Securities Agent State Law Examination
    1998-10-07

View on SEC IAPD

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