Martin T. Herman

AVISEN ADVISORS

RENO, NV 89509

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CRD#: 243828

Professional summary

Martin Theodore Herman is a registered financial advisor currently at AVISEN ADVISORS, LLC located in Reno, Nevada and AVISEN WEALTH MANAGEMENT, INC. located in Reno, Nevada.

Martin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Martin has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1, Series 4 and Series 12 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.

AVISEN ADVISORS LLC., 3620 AMERICAN RIVER DRIVE, SUITE 145, SACRAMENTO, CA 95864, RIA. INVESTMENT RELATED, INVESTMENT ADVISOR REPRESENTATIVE, DUTIES INCLUDE INVESTMENT CONSULTING SERVICES, START DATE IS APRIL 27, 2009, 85 HOURS PER MONTH OF WHICH 48 HOURS ARE DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Theodore 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®

None

Experience

Current

May 1, 2009 - Present

AVISEN ADVISORS, LLC

Office #1: 6880 S. Mccarran Blvd Suite 3, Reno, NV 89509

RIA

CRD#: 113791

RENO, NV

Current

April 27, 2009 - Present

AVISEN WEALTH MANAGEMENT, INC.

Office #1: 6880 S. Mccarran Blvd., Suite 3, Reno, NV 89509

CRD#: 125977

Reno, NV

Past

November 7, 1994 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

RENO, NV

Past

March 23, 1985 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

RENO, NV

Past

October 17, 1968 - March 26, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

AVISEN ADVISORS, LLC

AVISEN ADVISORS, LLC | BROWN ROBELLO CAPITAL MANAGEMENT, LLC

CRD#: 113791 / SEC#: 801-67652

RIA

Registered Investment Advisory firm - (5/7/2007 Approved)

California

Registered Investment Advisory firm - (8/22/2007 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.

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

California
(4/27/2009)

Nevada
(4/27/2009)

IAR

Nevada
(5/1/2009)

Oregon
(4/27/2009)

Washington
(10/9/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/17/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 8/31/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 9/21/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/27/1982

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 8/21/1981

NYSE Branch Manager Examination

SRO Registrations

FINRA

Current Firm

AVISEN ADVISORS, LLC

AVISEN ADVISORS, LLC | BROWN ROBELLO CAPITAL MANAGEMENT, LLC

CRD#: 113791 / SEC#: 801-67652

RIA

Registered Investment Advisory firm - (5/7/2007 Approved)

California

Registered Investment Advisory firm - (8/22/2007 Terminated)

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Contact information

Main Address

3620 American River Drive Suite 145, Sacramento, CA 95864

Mailing Address

Phone number

(916) 480-2747

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

ADV PART 2A BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	422
AUM (Assets Under Management)	$ 356,123,136

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Martin T. Herman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Theodore Herman's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVISEN WEALTH MANAGEMENT, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

AVISEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/17/1986

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 8/31/1977

Series 1

Date: 9/21/1967

Series 4

Date: 5/27/1982

Series 12

Date: 8/21/1981

FINRA

Current Firm

AVISEN ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVISEN ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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