Mark Herman
Mark Herman is a CFP-designated registered investment advisor at Up North Financial, LLC, based in Traverse City, MI, with 34 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 337 clients with $200M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Annual asset-based fees range between 0.25% and 2.00% depending on portfolio value, net worth, and services rendered. Fixed fees for investment management range between $5,000 and $30,000. Fees are negotiable.
Fee Estimator
Location
223 East State Street, Suite 200, Traverse City, MI, 49684
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Mark is a registered representative with Purshe Kaplan Sterling Investments, Inc., selling securities products. He is also an independent insurance agent, selling insurance products, dedicating about 10-20% of his time to each activity.
Employment History
Current Registrations
Up North Financial, LLC
Previous Registrations
Up North Financial, LLC
Purshe Kaplan Sterling InvestmentsBroker
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.Broker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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