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MH

Michael A. Herman

APOLLON WEALTH MANAGEMENT
COSTA MESA, CA
Some features on this profile are disabled
CRD#: 2787565
MH

Professional summary

Michael Anson Herman is a registered financial advisor currently at APOLLON WEALTH MANAGEMENT, LLC located in Costa Mesa, California and APOLLON FINANCIAL, LLC located in Costa Mesa, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Michael has worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 3, Series 31, Series 7, Series 24, Series 53 and Series 4 exams.

top-8-questions

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 Michael Anson 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

January 14, 2022 - Present

APOLLON WEALTH MANAGEMENT, LLC

RIA
CRD#: 291902
COSTA MESA, CA
Current

September 2, 2022 - Present

APOLLON FINANCIAL, LLC

RIA
CRD#: 321217
Costa Mesa, CA
Past

September 4, 2020 - December 10, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
Newport Beach, CA
Past

November 1, 2017 - September 1, 2020

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
NEWPORT BEACH, CA
Past

December 11, 2013 - September 18, 2020

PFE ADVISORS, INC.

RIA
CRD#: 144798
Newport Beach, CA
Past

May 7, 2009 - December 10, 2021

UNITED CAPITAL FINANCIAL ADVISORS

RIA
CRD#: 134600
NEWPORT BEACH, CA
Past

October 24, 2008 - November 1, 2017

GIRARD SECURITIES, INC.

BD
CRD#: 18697
NEWPORT BEACH, CA
Past

September 5, 2006 - October 21, 2008

STRATEGIC WEALTH ADVISORS GROUP

RIA
CRD#: 140977
SAN MATEO, CA
Past

May 10, 2006 - October 8, 2008

FSC SECURITIES CORPORATION

BD
CRD#: 7461
SAN MATEO, CA
Past

February 14, 2006 - October 8, 2008

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
SAN MATEO, CA
Past

March 8, 2004 - May 12, 2006

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
FOUNTAIN VALLEY, CA
Past

January 11, 2000 - May 12, 2006

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

September 23, 1998 - December 14, 1999

WALL STREET EQUITIES INCORPORATED

BD
CRD#: 18432
NEW YORK, NY
Past

January 22, 1998 - June 10, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

August 19, 1997 - January 9, 1998

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY

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".
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK

CRD#: 291902 / SEC#: 801-112350

RIA
Registered Investment Advisory firm - (1/22/2018 Approved)

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
California
(1/14/2022)
IAR
Illinois
(9/2/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/30/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/20/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 3/20/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/4/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 2/5/1998
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/20/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/20/2024
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/20/2024
Registered Options Principal Examination

Current Firm

AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK

CRD#: 291902 / SEC#: 801-112350

RIA
Registered Investment Advisory firm - (1/22/2018 Approved)
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Contact information

Main Address
111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464
Mailing Address
Phone number
(843) 579-0018
Established
Firm type
Fiscal year end
# of Employees
179

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APOLLON WEALTH MANAGEMENT, LLC - PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts20,798
AUM (Assets Under Management)$ 7,720,756,861

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

APOLLON WEALTH MANAGEMENT, LLC

CRD#: 291902Costa Mesa, CA

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