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 334 clients with $190M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Up North Financial provides investment management services for an annual fee based on the value of your investments. The annual fee varies between 0.25% and 2.00% for asset-based fees and between $5,000 and $30,000 for fixed fees, depending on the value of the assets managed, your net worth, and the type of investment management services provided. UNF can negotiate a different fee rate for certain client holdings (e.g., held-away assets, accommodation accounts, alternative investments, etc.).
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.