KH
Keith A. Herman
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
VORHEES, NJ 08043
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CRD#: 2322605
KH
Professional summary
Keith Andrew Herman, AIF® is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Vorhees, New Jersey.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Keith has worked at 12 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 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.
1.) HADDON FINANCIAL SOLUTIONS - MANAGING PARTNER- DBA NAME FOR MARKETING PURPOSES ONLY - VOORHEES, NJ - SINCE 09/2015 - INVESTMENT RELATED 2.) KEITH HERMAN - SELF - NON-VARIABLE INSURANCE - VOORHEES, NJ - SINCE 08/2006 - INVESTMENT RELATED 3.) 7 SOMETHING LLC - PARTNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - VOORHEES, NJ - SINCE 09/2022 - INVESTMENT RELATED 4.) HADDON ADVISORY GROUP - PARTNER - PARTNERSHIP - VOORHEES, NJ - SINCE 10/2022 - NOT INVESTMENT RELATED 5.) AABCO TRADING - OWNER - USED FOR SELF ACCOUNTING PURPOSES - CHERRY HILL, NJ - SINCE 01/2013 - NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Keith Andrew Herman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Andrew 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®
Experience
Current
November 2, 2017 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 701 White Horse Road Suite 1, Vorhees, NJ 08043RIA
BD
CRD#: 20804
VORHEES, NJ
Current
October 17, 2017 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 701 White Horse Road Suite 1, Vorhees, NJ 08043RIA
BD
CRD#: 20804
VORHEES, NJ
Past
October 16, 2015 - July 28, 2017
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Haddon Township, NJ
Past
September 15, 2015 - July 28, 2017
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
Haddon, NJ
Past
September 9, 2013 - December 23, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
HADDON TWP, NJ
Past
September 9, 2013 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
HADDON TWP, NJ
Past
January 12, 2012 - October 14, 2013
FINANCIAL PLANNING ASSOCIATES, LLC
RIA
CRD#: 159404
CHERRY HILL, NJ
Past
June 9, 2011 - September 5, 2013
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
HADDON TOWNSHIP, NJ
Past
March 1, 2011 - May 17, 2011
HARRISON DOUGLAS, INC.
BD
CRD#: 16515
PLEASANTVILLE, NY
Past
January 4, 2008 - December 31, 2011
FINANCIAL PLANNING ASSOCIATES,INC.
RIA
CRD#: 112357
PLEASANTVILLE, NY
Past
January 29, 2007 - December 20, 2007
LIBERTY STATE WEALTH MANAGEMENT, INC.
RIA
CRD#: 135233
CHERRY HILL, NJ
Past
May 25, 2006 - December 31, 2006
LIBERTY STATE WEALTH MANAGEMENT, INC.
RIA
CRD#: 135233
CHERRY HILL, NJ
Past
May 24, 2006 - February 24, 2011
ALTERNATIVE WEALTH STRATEGIES, INC.
BD
CRD#: 130933
CHERRY HILL, NJ
Past
January 27, 2005 - June 24, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
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".
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UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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
RR
Arizona(12/4/2017)
RR
California(10/17/2017)
RR
Connecticut(10/23/2020)
RR
Delaware(2/25/2019)
RR
District of Columbia(1/25/2022)
RR
Florida(12/4/2017)
RR
Georgia(11/3/2017)
RR
Hawaii(11/30/2018)
RR
Illinois(11/20/2024)
RR
Indiana(3/23/2022)
RR
Maryland(10/17/2017)
RR
Massachusetts(11/22/2017)
RR
New Hampshire(3/23/2022)
RR
New Jersey(11/2/2017)
IAR
New Jersey(11/2/2017)
RR
New York(1/17/2018)
RR
North Carolina(12/13/2017)
RR
Ohio(10/21/2018)
RR
Pennsylvania(11/27/2017)
RR
South Carolina(11/6/2017)
RR
Virginia(12/7/2017)
RR
Washington(10/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258
Mailing Address
P.o. Box 5750, Scottsdale, AZ 85261-5750
Phone number
(480) 991-0225
Established
Arizona since 08/21/1987
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
614
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
