Mark D. Herman

UP NORTH FINANCIAL

TRAVERSE CITY, MI 49684

Some features on this profile are disabled

CRD#: 2190754

Professional summary

Mark Donald Herman, CFP® is a registered financial advisor currently at UP NORTH FINANCIAL, LLC located in Traverse City, Michigan.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Mark has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Donald Herman's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

December 23, 2021 - Present

UP NORTH FINANCIAL, LLC

Office #1: 223 East State Street Suite 200, Traverse City, MI 49684

RIA

CRD#: 150996

TRAVERSE CITY, MI

Past

September 24, 2010 - June 11, 2021

UP NORTH FINANCIAL, LLC

RIA

CRD#: 150996

TRAVERSE CITY, MI

Past

August 7, 2009 - March 24, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

TRAVERSE CITY, MI

Past

June 1, 2009 - August 31, 2009

MORGAN STANLEY

CRD#: 149777

TRAVERSE CITY, MI

Past

November 27, 1996 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TRAVERSE CITY, MI

Past

January 15, 1992 - September 25, 1996

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 15, 1992 - September 25, 1996

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

UP NORTH FINANCIAL, LLC

CRD#: 150996 / SEC#: 801-120926

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Michigan

Registered Investment Advisory firm - (6/11/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/11/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Michigan
(12/23/2021)

IAR

Texas
(12/23/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/13/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/31/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/26/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/13/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UP NORTH FINANCIAL, LLC

CRD#: 150996 / SEC#: 801-120926

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Michigan

Registered Investment Advisory firm - (6/11/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/11/2021 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

223 East State Street Suite 200, Traverse City, MI 49684

Mailing Address

Phone number

(231) 929-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UP NORTH FINANCIAL, LLC DISCLOSURE BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	1,010
AUM (Assets Under Management)	$ 186,101,656

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.

Similar Advisors

Jason Gilbert

RGA INVESTMENT ADVISORS, LLC

IAR

Great Neck, NY

Ryan Ruppert

MORGAN STANLEY

IAR

Austin, TX

Kent Batley

BATLEY & ASSOCIATES

IAR

Estacada, OR

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark D. Herman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Donald Herman's CRS (Customer Relationship Summary).

Certified licenses

Experience

UP NORTH FINANCIAL, LLC

UP NORTH FINANCIAL, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

UP NORTH FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/1996

Series 63

Date: 1/13/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 1/31/1997

Series 7

Date: 11/26/1996

Series 6

Date: 1/13/1992

Current Firm

UP NORTH FINANCIAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UP NORTH FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors