About Us

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.

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Modified: November 7, 2018