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Troy A. Herman
CETERA INVESTMENT ADVISERS LLC
GERING, NE 69341
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CRD#: 5113814
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Professional summary
Troy A. Herman, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gering, Nebraska and CETERA WEALTH SERVICES, LLC located in Gering, Nebraska.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Troy has worked at 8 firms and has passed the Series 66, SIE and Series 7 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) HERMAN WEALTH MANAGEMENT, INC.; DBA WIEDEMAN FINANCIAL SERVICES POSITION: President/Secretary/Treasurer/Financial Advisor NATURE: FINANCIAL SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 7 START DATE: 01/01/2016 ADDRESS: 1524 10th St, PO Box 606, Gering NE 69341, United States DESCRIPTION: We provide various financial services solutions to our clients; meeting with clients, providing financial solutions/recommendations, placing appropriate securities trades/or mutual exchanges. 2) CITY OF SCOTTSBLUFF, NE BOARD OF ADJUSTMENT POSITION: Board Member NATURE: The Board of Adjustment is part of the City of Scottsbluff Planning and Zoning Division which manages long range and current planning issues facing the community. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/30/2015 ADDRESS: 2325 Circle Drive, Scottsbluff NE 69361, United States DESCRIPTION: The Board of Adjustment meets when property owners are requesting a variance to current municipal property zoning codes. 3)TROY A HERMAN AND CAROL M HERMAN JTWROS ON PERSONAL REAL ESTATE POSITION: Owner NATURE: Troy A Herman and Carol M Herman purchased real estate in Van Meter, IA to provide housing for our daughter. In the future, we may be receiving rental income from this property. The property is held as JTWROS. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/10/2024 ADDRESS: 1524 10th Street, Gering NE 69341, United States DESCRIPTION: As owners of property, we are responsible for paying taxes and maintaining insurance along with paying HOA fees for provided maintenance services. 4)TROY A HERMAN AND CAROL M HERMAN JTWROS ON COMMERCIAL REAL ESTATE POSITION: Owner NATURE: Troy A Herman and Carol M Herman purchased commercial/office real estate in Gering, NE to continue to provide office facilities for the financial services firm to operate and meet with clients. The property is held personally as JTWROS. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/25/2020 ADDRESS: 1524 10th Street, Gering NE 69341, United States DESCRIPTION: We own personally the commercial/office real estate whereby the financial services firm conducts business and meets with clients.
CRS (Client Relationship Summary) - RIA
Click below to view Troy A. 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®
CFP®
Start date: 2005
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1524 10th Street, Gering, NE 69341RIA
CRD#: 105644
GERING, NE
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1524 10th Street, Gering, NE 69341BD
CRD#: 13572
GERING, NE
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
GERING, NE
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
GERING, NE
Past
June 11, 2013 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
GERING, NE
Past
March 28, 2012 - June 6, 2013
WEALTH ADVISORS NETWORK, INC.
RIA
CRD#: 113836
HASTINGS, NE
Past
November 3, 2010 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
GERING, NE
Past
October 26, 2006 - October 1, 2010
HERMAN FINANCIAL ADVISORS, INC.
RIA
CRD#: 139994
SCOTTSBLUFF, NE
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Iowa(9/5/2025)
RR
Kansas(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Montana(9/5/2025)
RR
Nebraska(9/5/2025)
IAR
Nebraska(9/5/2025)
RR
New Mexico(9/5/2025)
RR
New York(9/5/2025)
RR
Ohio(9/19/2025)
RR
South Dakota(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
RR
Wyoming(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Gering, NE 69341TRUST BUT VERIFY
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