Unclaimed Profile

Mark Donald Herman

UP NORTH FINANCIAL, LLC·TRAVERSE CITY, Michigan

SIE, Series 6, Series 7, Series 31, Series 63, Series 65, Series 99TOCFPClean record15 years registeredUP NORTH FINANCIAL, LLC

223 EAST STATE STREET, TRAVERSE CITY, MI 49684CRD# 2190754Firm CRD# 150996

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Donald Herman · TRAVERSE CITY, MI

Registration

CRD #2190754 · UP NORTH FINANCIAL, LLC · 15 years registered

Brand Profile

Not yet started

Career History

UP NORTH FINANCIAL, LLC

Dec 2021 – present

UP NORTH FINANCIAL, LLC

Sep 2010 – Jun 2021

TRAVERSE CITY, MI

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 31

Series 63

Series 65

Series 99TO

Registration record

First registered · September 24, 2010

Years registered · 15

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

UP NORTH FINANCIAL, LLC

CRD 150996 · SEC 801-120926

AUM

$165M

Regulatory assets under management

Employees

973 client accounts

Services offered by UP NORTH FINANCIAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at UP NORTH FINANCIAL, LLC →

Introduction

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Frequently Asked Questions

What services does Mark Donald Herman offer?

Mark Donald Herman specializes in Financial Planning, Investment Management. Contact their office in TRAVERSE CITY, Michigan for a consultation.

What are Mark Donald Herman's credentials?

Mark Donald Herman holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Mark Donald Herman located?

Mark Donald Herman is based in TRAVERSE CITY, Michigan, working with UP NORTH FINANCIAL, LLC. Their office serves clients in the TRAVERSE CITY metropolitan area and surrounding communities.

How does Mark Donald Herman charge for services?

Mark Donald Herman's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is UP NORTH FINANCIAL, LLC?

UP NORTH FINANCIAL, LLC has approximately 2 employees and manages $165M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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