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This Form ADV Part 2
brochure supplement provides information about our
supervised persons. This html format is provided for
convenience only. Clients and
prospective clients may obtain a print version of the
entire brochure, including this supplement, via
pdf format download or by telephoning or writing P.R.
Herzig & Co.
Item 1 - Cover Page
Jonathon E.
Ciaio
P.R. Herzig & Co., Inc., 1 Expressway Plaza, Roslyn
Heights, NY 11577 Tel: 516-621-0200
Supplement dated March 31, 2011.
Additional information available at
www.adviserinfo.sec.gov
and
www.finra.org/brokercheck.
Item 2 - Education Background and
Business Experience
Jonathon
E. Ciaio, CFA, CMT, born 1976, is the Firm’s principal
trader and a portfolio manager. He graduated from
Cornell University in 1999 with a BS in applied
economics and management. He was a financial adviser at
UBS PaineWebber from 2000-2001 and joined the Firm in
2001. He earned the Chartered Financial Analyst
designation in 2006, Chartered Market Technician
designation in 2010, and is a member of the New York
Society of Security Analysts and the Market Technicians
Association.
The
Chartered Financial Analyst (CFA) charter is a
graduate-level investment credential established in 1962
and awarded by CFA Institute, the largest global
association of investment professionals. To earn the CFA
charter, candidates must: 1) pass three sequential,
six-hour examinations; 2) have at least four years of
qualified professional investment experience; 3) join
CFA Institute as members; and 4) commit to abide by, and
annually reaffirm adherence to, the CFA Institute Code
of Ethics and Standards of Professional Conduct. For
more information visit
www.cfainstitute.org.
The Chartered Market Technician (CMT) designation is a
leading industry credential awarded by the Market
Technicians Association. Candidates must pass three
exams totaling 10 hours covering a broad range of
methods to evaluate securities by analyzing statistics
generated by market activity.
Item 3 - Disciplinary Information
None.
Item 4 - Other Business Activities
Jonathon
E. Ciaio is a registered representative of P.R. Herzig &
Co., a broker-dealer.
Item 5 - Other Compensation
None.
Item 6 – Supervision
M. Thomas
Herzig, President and Arthur Pesner, Compliance Officer,
are responsible for supervising the advisory activities
of all persons at the firm. They can be reached at the
Firm’s address and telephone number listed in Item 1.
Item 7 – Requirements for
State-Registered Advisers
Not
applicable.
Back to Table of Contents
Item 1 - Cover Page
Sumner Gerard
P.R. Herzig & Co., Inc., 1 Expressway Plaza, Roslyn
Heights, NY 11577 Tel: 516-621-0200
Supplement dated March 31, 2011.
Additional information available at
www.adviserinfo.sec.gov
and
www.finra.org/brokercheck.
Item 2 - Education Background and
Business Experience
Sumner
Gerard, CFA, born 1953, is the Firm’s director of
research. He also provides analytical support to select
institutional clients and manages portfolios. He
graduated from Bowdoin College in 1976 with a BA in
economics and French literature. He worked for 18 years
at predecessor banks of JP Morgan Chase, including 5
years in Taiwan and 2 years in China, where he was the
senior in-country officer. He was employed by a New
York-based fund of funds from 2000-2001, and joined the
Firm in 2002. He earned his Chartered Financial Analyst
designation in 2000 and is a member of the New York
Society of Security Analysts. He is an officer or
trustee of several trusts and private charitable
foundations.
The Chartered
Financial Analyst (CFA) charter is a graduate-level
investment credential established in 1962 and awarded by
CFA Institute, the largest global association of
investment professionals. To earn the CFA charter,
candidates must: 1) pass three sequential, six-hour
examinations; 2) have at least four years of qualified
professional investment experience; 3) join CFA
Institute as members; and 4) commit to abide by, and
annually reaffirm adherence to, the CFA Institute Code
of Ethics and Standards of Professional Conduct. For
more information visit
www.cfainstitute.org.
Item 3 - Disciplinary Information
None.
Item 4 - Other Business Activities
Sumner
Gerard is a registered representative of P.R. Herzig &
Co., a broker-dealer.
Item 5 - Other Compensation
None.
Item 6 – Supervision
M. Thomas
Herzig, President and Arthur Pesner, Compliance Officer,
are responsible for supervising the advisory activities
of all persons at the firm. They can be reached at the
Firm’s address and telephone number listed in Item 1.
Item 7 – Requirements for
State-Registered Advisers
Not
applicable.
Back to Table of Contents
Item 1 - Cover Page
M. Thomas
Herzig
P.R. Herzig & Co., Inc., 1 Expressway Plaza, Roslyn
Heights, NY 11577 Tel: 516-621-0200
Supplement dated March 31, 2011.
Additional information available at
www.adviserinfo.sec.gov
and
www.finra.org/brokercheck.
Item 2 - Education Background and
Business Experience
M. Thomas
Herzig, CFA, born 1954, is the Firm’s president and
chief portfolio manager. He joined the Firm in 1977
after earning a BA in economics and romance languages
from Bowdoin College. He left the Firm in 1978 to earn
an MBA from the University of Cape Town, South Africa,
then rejoined the Firm in 1979. In 1982, he was an early
recipient of the Chartered Financial Analyst
designation. He is a member of the New York Society of
Security Analysts, and a trustee of several trusts.
The
Chartered Financial Analyst (CFA) charter is a
graduate-level investment credential established in 1962
and awarded by CFA Institute, the largest global
association of investment professionals. To earn the CFA
charter, candidates must: 1) pass three sequential,
six-hour examinations; 2) have at least four years of
qualified professional investment experience; 3) join
CFA Institute as members; and 4) commit to abide by, and
annually reaffirm adherence to, the CFA Institute Code
of Ethics and Standards of Professional Conduct. For
more information visit
www.cfainstitute.org.
Item 3 - Disciplinary Information
None.
Item 4 - Other Business
Activities
M. Thomas
Herzig is a registered representative of P.R. Herzig &
Co., a broker-dealer.
Item 5 - Other Compensation
None.
Item 6 – Supervision
M. Thomas
Herzig, President and Arthur Pesner, Compliance Officer,
are responsible for supervising the advisory activities
of all persons at the firm. They can be reached at the
Firm’s address and telephone number listed in Item 1.
Item 7 – Requirements for
State-Registered Advisers
Not
applicable.
Back to Table of Contents
Item 1 - Cover Page
Arthur S.
Pesner
P.R. Herzig & Co., Inc., 1 Expressway Plaza, Roslyn
Heights, NY 11577 Tel: 516-621-0200
Supplement dated March 31, 2011.
Additional information available at
www.adviserinfo.sec.gov
and
www.finra.org/brokercheck.
Item 2 - Education Background and
Business Experience
Arthur S.
Pesner, CFA, born 1963, is the Firm’s chief financial
officer and compliance officer. He graduated from
Cornell University in 1985 with a BS in applied
economics and management, then earned his MBA from the
University of Michigan in 1987. He worked for the
Securities and Exchange Commission (SEC) from 1988-1994
as a securities compliance examiner, and joined the Firm
in 1994. He received the Chartered Financial Analyst
designation in 1994 and is a member of the New York
Society of Security Analysts.
The
Chartered Financial Analyst (CFA) charter is a
graduate-level investment credential established in 1962
and awarded by CFA Institute, the largest global
association of investment professionals. To earn the CFA
charter, candidates must: 1) pass three sequential,
six-hour examinations; 2) have at least four years of
qualified professional investment experience; 3) join
CFA Institute as members; and 4) commit to abide by, and
annually reaffirm adherence to, the CFA Institute Code
of Ethics and Standards of Professional Conduct. For
more information visit
www.cfainstitute.org.
Item 3 - Disciplinary Information
None.
Item 4 - Other Business Activities
Arthur S.
Pesner is a registered representative of P.R. Herzig &
Co., a broker-dealer.
Item 5 - Other Compensation
None.
Item 6 – Supervision
M. Thomas
Herzig, President and Arthur Pesner, Compliance Officer,
are responsible for supervising the advisory activities
of all persons at the firm. They can be reached at the
Firm’s address and telephone number listed in Item 1.
Item 7 – Requirements for
State-Registered Advisers
Not
applicable.
Back to Table of Contents
Return to ADV
Part 2 brochure (html)
Printable (pdf) Version of this Brochure
Form ADV Part I on SEC Website
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