Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DANIEL ROBERT HERMAN
DAN HERMAN, DANIEL R HERMAN
CRD#: 5123315
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 1717 ARCH STREET
21ST FLOOR
PHILADELPHIA, PA 19103
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Alabama 1/14/2025
B
Nevada 12/19/2023
B
Arizona 12/19/2023
B
New Hampshire 12/19/2023
B
California 12/16/2016
B
New Jersey 12/16/2016
B
Colorado 4/8/2019
B
New Mexico 12/19/2023
B
Connecticut 12/19/2023
B
New York 12/16/2016
B
Delaware 12/19/2023
B
North Carolina 12/21/2023
B
District of Columbia 1/14/2025
B
North Dakota 12/19/2023
B
Florida 12/16/2016
B
Ohio 12/20/2023
B
Georgia 12/19/2023
B
Oregon 11/15/2022
B
Hawaii 12/19/2023
B
Pennsylvania 12/16/2016
B
Illinois 1/14/2025
IA
Pennsylvania 12/16/2016
B
Indiana 12/19/2023
B
South Carolina 12/16/2016
B
Iowa 11/15/2022
B
Tennessee 12/19/2023
B
Louisiana 12/19/2023
B
Texas 12/19/2023
B
Maine 1/14/2025
IA
Texas 12/20/2023
B
Maryland 12/19/2023
B
Utah 12/19/2023
B
Massachusetts 11/15/2022
B
Vermont 12/19/2023
B
Minnesota 12/19/2023
B
Virginia 12/16/2016
B
Mississippi 12/19/2023
B
Washington 1/21/2025
B
Missouri 1/14/2025
B
West Virginia 12/19/2023
B
Montana 12/19/2023
B
Wisconsin 12/19/2023
B
Nebraska 1/21/2025

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
1717 ARCH STREET 21ST FLOOR, PHILADELPHIA, PA 19103
Registered with this firm since 12/16/2016
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
1717 ARCH STREET 21ST FLOOR, PHILADELPHIA, PA 19103
Registered with this firm since 12/16/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/09/2009 - 12/21/2016 WELLS FARGO ADVISORS (CRD#:19616) PHILADELPHIA, PA
B
 04/09/2009 - 12/21/2016 WELLS FARGO ADVISORS (CRD#:19616) PHILADELPHIA, PA
IA
 10/30/2006 - 01/29/2009 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) CONSHOHOCKEN, PA
B
 10/05/2006 - 01/29/2009 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) CONSHOHOCKEN, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.