Tom Herity

Tom Herity is an experienced compliance professional currently serving as a Compliance Officer at Aegis Capital Corp. since April 2023. Prior to this role, Tom held compliance positions at RF Lafferty & Co., Inc. since October 2016, and served as Chief Compliance Officer and AML Officer at Rothschild Lieberman LLC from May 2015 to October 2016. Tom has a strong background in compliance, having previously been the Chief Compliance Officer at HFP Capital Markets LLC, Spartan Capital Securities, LLC, and Sloan Securities, where additional responsibilities included AML Officer roles. Earlier in Tom's career, leadership in compliance was demonstrated at Northeast Securities and margin management experience was gained at Investec Ernst & Co. Tom's educational background includes studies at New Jersey City University and the New York Institute of Finance.