ADV Part 2 Brochure Supplement

 

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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.
 

Table of Contents

 

Supervised persons (Alphabetical order)

   
  Supplement - Information about Sumner Gerard
  Supplement - Information about M. Thomas Herzig
  Supplement - Information about Arthur S. Pesner
         Return to ADV Part 2 brochure

 

 

Supplement – Information about Sumner Gerard

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

 

Supplement– Information about M. Thomas Herzig

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

 

Supplement – Information about Arthur S. Pesner

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.

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