Tom Herity

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Compliance Officer at Aegis Capital Corp.|River Edge, New Jersey, United States

Position:

Compliance Officer at Aegis Capital Corp.

Location:

River Edge, New Jersey, United States

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Last updated: 2026-04-07
Updated: 2026-04-07
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Work Experience 39 years

Compliance Officer at Aegis Capital Corp.

Apr 2023 - Current

Compliance at RF Lafferty & Co., Inc

Oct 2016 - Current

Chief Compliance Officer & AML Officer at Rothschild Lieberman LLC

May 2015 - Oct 2016

Chief Compliance Officer at HFP Capital Markets LLC

Sep 2013 - May 2014

Chief Compliance Officer at Spartan Capital Securities, LLC

Aug 2012 - Jun 2013

Chief Compliance Officer & AML Officer at Sloan Securities

Jan 2008 - Apr 2012

Chief Compliance Officer at Northeast Securities

Sep 2002 - Dec 2007

Margin Manager at Investec Ernst & Co

Jan 1987 - Jan 2002

Tom Herity started working in 1987, then the employee has changed 7 companies and 4 jobs. On average, Tom Herity works for one company for 5 years.

Education

New Jersey City University

New York Institute of Finance

Frequently Asked Questions

What is Tom Herity's minimum period of employment in the companies?

Tom Herity's minimum period of employment in various companies is 8 months.

What is Tom Herity's average duration of employment for different companies?

On average, Tom Herity works for one company for 4 years 7 months

What industries has Tom Herity worked in?

Tom Herity works in the Financial Services.

What positions has Tom Herity held before?

Previously, Tom Herity worked as a Compliance, and Chief Compliance Officer & AML Officer, and Chief Compliance Officer, and Margin Manager.

How do I contact Tom Herity?

Tom Herity's phone number is +1-520-***-**87. Sign up to get contact details.

Who is the President/CEO/Director of the Aegis Capital Corp.?

The President/CEO/Director of the Aegis Capital Corp. is Patrick Moriarty

Who are Tom Herity's peers at other companies?

Tom Herity's peers at other companies are Vijayalakshmi Murugesan and Chirag Jain and Santosh Thapa

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