DH
David J. Herman
FORTRESS PRIVATE LEDGER
Greenville, SC 29601
CRD#: 1716110
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DH
David Jeffrey HermanFORTRESS PRIVATE LEDGER
Professional summary
David Jeffrey Herman, who also goes by D Jeff Herman, D. Jeffrey Herman, Jeff Herman, is a registered financial advisor currently at FORTRESS PRIVATE LEDGER, LLC located in Greenville, South Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
D Jeff Herman | D. Jeffrey Herman | Jeff Herman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Jeffrey Herman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Jeffrey Herman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2024 - Present
FORTRESS PRIVATE LEDGER, LLC
Office #1: 104 South Main St. Suite 848, Greenville, SC 29601RIA
BD
CRD#: 290298
Greenville, SC
Current
September 5, 2024 - Present
FORTRESS PRIVATE LEDGER, LLC
Office #1: 3110 Edwards Mill Rd Suite 200, Raleigh, NC 27612Office #2: 3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612Office #3: 3110 Edwards Mill Rd Ste 200, Raleigh, NC 27612RIA
BD
CRD#: 290298
RALEIGH, NC
Past
April 1, 2021 - September 18, 2024
ARKADIOS CAPITAL
BD
CRD#: 282710
Greenville, SC
Past
September 12, 2014 - September 6, 2024
WEALTH MANAGEMENT ADVISORS, LLC
RIA
CRD#: 171260
GREENVILLE, SC
Past
May 16, 2014 - April 5, 2021
TRIAD ADVISORS LLC
BD
CRD#: 25803
Greenville, SC
Past
October 2, 2013 - May 19, 2014
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
ANDERSON, SC
Past
January 26, 2007 - June 27, 2012
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
August 2, 2001 - January 31, 2006
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
November 25, 1994 - July 17, 2001
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
April 28, 1992 - August 8, 1994
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
September 24, 1987 - May 7, 1992
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FP
FORTRESS PRIVATE LEDGER, LLC
ABUNDANCE NC | THE JEFFREY GROUP | JG3, LLC | JAVELIN 19 OPPORTUNITY ZONE ADVISORS | HOMETOWN RETIREMENT STRATEGIES | FORTRESS RETIREMENT PLAN ADVISORS | FORTRESS PRIVATE LEDGER, LLC | FORTRESS PRIVATE LEDGER | FORTRESS PHYSICIANS | FORTRESS INVESTMENT MANAGEMENT | FORTRESS FINANCIAL PARTNERS | FORTRESS ADVISOR NETWORK | COLLEGIATE FINANCIAL GROUP | BEST INTEREST WEALTH PLANNING, LLC | AXIOM CONSULTING GROUP | ARCHER
CRD#: 290298 / SEC#: 801-118075, 8-70027
RIA
Registered Investment Advisory firm - SEC (2/18/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/28/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(9/5/2024)
IAR
District of Columbia(10/16/2024)
RR
Georgia(9/5/2024)
IAR
Georgia(9/6/2024)
IAR
Nevada(9/5/2024)
IAR
North Carolina(9/5/2024)
RR
North Carolina(9/19/2024)
RR
South Carolina(9/5/2024)
IAR
South Carolina(9/5/2024)
IAR
Virginia(9/6/2024)
RR
West Virginia(1/15/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FP
FORTRESS PRIVATE LEDGER, LLC
ABUNDANCE NC | THE JEFFREY GROUP | JG3, LLC | JAVELIN 19 OPPORTUNITY ZONE ADVISORS | HOMETOWN RETIREMENT STRATEGIES | FORTRESS RETIREMENT PLAN ADVISORS | FORTRESS PRIVATE LEDGER, LLC | FORTRESS PRIVATE LEDGER | FORTRESS PHYSICIANS | FORTRESS INVESTMENT MANAGEMENT | FORTRESS FINANCIAL PARTNERS | FORTRESS ADVISOR NETWORK | COLLEGIATE FINANCIAL GROUP | BEST INTEREST WEALTH PLANNING, LLC | AXIOM CONSULTING GROUP | ARCHER
CRD#: 290298 / SEC#: 801-118075, 8-70027
RIA
Registered Investment Advisory firm - SEC (2/18/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/28/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3110 Edwards Mill Rd, Ste 200 Suite 200, Raleigh, NC 27612
Mailing Address
3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612
Phone number
(919) 322-2762
Established
North Carolina since 11/17/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
26
SEC notice filing (19 States and Territories)
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,115 |
| AUM (Assets Under Management) | $ 346,106,253 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FORTRESS PRIVATE LEDGER, LLC
CRD#: 290298Greenville, SC 29601TRUST BUT VERIFY
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