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Jon Herrick

Investor

Chief Compliance Officer at Aquarian Holdings

Detroit, Michigan, United States

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About

Chief Compliance Officer at Aquarian Holdings overseeing the firm's compliance program; previously a Managing Director at Guggenheim Investments with earlier roles at Intertrust Group and Morgan Stanley.

Experience

  1. Aquarian HoldingsChief Compliance Officercurrent2025 — presentNew York, New York, United States
  2. SchonfeldCompliance Consultant2023 — 2024New York, New York, United States
  3. Nearwater CapitalCompliance Consultant2023New York, New York, United States
  4. Guggenheim PartnersChief Compliance Officer2020 — 2023New York, New York, United States
  5. Guggenheim PartnersManaging Director, Head of Transactional Compliance2018 — 2023New York, New York, United States
  6. Intertrust GroupHead of Capital Markets Americas2014 — 2018New York, New York, United States
  7. Intertrust GroupHead of Intertrust SPV2011 — 2014George Town, Cayman Islands
  8. Morgan StanleyExecutive Director, Fixed Income2009 — 2011New York, New York, United States
  9. Morgan StanleyExecutive Director, Legal Department2004 — 2009New York, New York, United States
  10. Morgan StanleyVice President, Legal Department2003 — 2004Tokyo, Japan
  11. Commerzbank AGSenior Legal Counsel2000 — 2003Tokyo, Japan
  12. DentonsAssistant Solicitor1998 — 2000Tokyo, Japan
  13. DentonsTrainee Solicitor1997 — 1998London Area, United Kingdom

Skills & more

Securities9Investments13Private Equity16Corporate Law10Legal Advice1Equities7Capital Markets11Hedge Funds3Trading2Joint Ventures1Fixed Income3Structured Finance2
+2 moreFinanceBankruptcy
  • Series 24 — FINRA
  • Series 7 — FINRA
  • Securities Industry Essentials (SIE) — FINRA

From Jon's professional profile.

Colleagues at Aquarian Holdings

Alex Lee
Principal Head of Loan Operations at Aquarian Holdings
Andrew Librot
Vice President at Aquarian Holdings
Aryan Biyani
Vice President at Aquarian Holdings
Brandon Sanders
Head Economist at Aquarian Holdings
Brian Safstrom
Partner Head of Underwriting at Aquarian Holdings
Brian Salvitti
Partner Head of Origination at Aquarian Holdings
Charles Gibson
Vice President at Aquarian Holdings
Daisy Cai
Finance and Fund Operations Manager at Ion Pacific

Frequently asked questions

Who is Jon Herrick?
Chief Compliance Officer at Aquarian Holdings overseeing the firm's compliance program; previously a Managing Director at Guggenheim Investments with earlier roles at Intertrust Group and Morgan Stanley.
Where does Jon Herrick work?
Jon Herrick is Chief Compliance Officer at Aquarian Holdings.
Where did Jon Herrick go to school?
Jon Herrick studied at University of Bristol (Legal Practice Course, Law); University of Bristol (Bachelor of Laws (LL.B.), Law).

Same school

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