Sean Yang

Herold Advisors, INC.

15 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment Management

Herold Advisors, INC.

Compensation

Fee-Only (AUM)

Firm Size

11 advisors

Number of Clients

523 clients

Average Client Portfolio

$936K average

Assets Under Management

$489.7M

Fee Structure

Financial Planning:Investment management only

Location

845 Third Avene Suite 1703, New York, NY, 10022-7513

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Employment History

Current Registrations

Herold Advisors, INC.

February 2022 - Present · 4 yrs

Herold & Lantern Investments, INC.Broker

November 2020 - Present · 5 yrs 3 mos

Previous Registrations

Bernard Herold & CO., INC.Broker

July 2013 - November 2020 · 7 yrs 4 mos

Avatar Securities, LLCBroker

January 2013 - July 2013 · 6 mos

Wts Proprietary Trading Group LLCBroker

June 2012 - January 2013 · 7 mos

Chimera Securities, LLCBroker

June 2011 - May 2012 · 11 mos

Assent LLCBroker

March 2009 - May 2010 · 1 yr 2 mos

State Registrations3 states

FLNYTX

AdvisorBrokerBoth

Exams

No exam information available for this advisor.