Peter Hermes, financial advisor Leawood KS
81 score

Peter Hermes

CRD Number: 4478732
Current Firm: Client One Securities LLC

Peter Hermes (CRD# 4478732) is an Investment Advisor Representative working at Client One Securities LLC in Leawood, KS and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Client One Securities, LLC Green Bay, WI May 2013 - Current 3
Ing Financial Partners Green Bay, WI Jan 2004 - May 2013 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2001
S65 NASAA Investment Advisors Law Examination Jul 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Peter A. Hermes
Phone Number: 913-814-6097
Registered State(s):
  • WI
By the Numbers
  • Total Assets Under Management
    263
    MILLIONS
  • Total Number of Accounts
    2,124
    ACCOUNTS
  • Average Account Value
    $123,641
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AR, AZ, CA, CO, CT, DC, FL, HI, IA, ID, IL, IN, KS, LA, MA, MD, ME, MN, MO, MS, NC, NE, NH, NJ, NV, NY, OH, OK, OR, PA, SC, TN, TX, VA, WA, WI, WV

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BADGES
81

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