Experience. Strength. Knowledge.
Herald Investment Marketing, LLC has 100+ years of Broker-Dealer, Investment Management, and Financial Services Experience at the director level.
Our Regulatory Compliance experience builds on the foundation of Vigilant Compliance, one of the nation’s leading Compliance firms, and over a Decade of Broker-Dealer, Mutual Fund and Investment Adviser experience.
HIM’s multi-disciplined capabilities, knowledge, and substantial Broker-Dealer and management experience puts the Broker-Dealer Clients in touch with the latest in the industry’s Broker-Dealer and Compliance methodologies.
HIM’s combined staff of Legal and Broker-Dealer professionals are experienced in diversified Broker-Dealer areas of Compliance to give Clients the confidence that an independent, experienced firm is working on its behalf knowledgeable about FINRA and Regulatory requirements.
Modified: November 7, 2018