David S. Hermann

FIRST HEARTLAND CONSULTANTS | Branch Manager

TUCSON, AZ

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CRD#: 6237188

Professional summary

David Scott Hermann is a registered financial advisor currently at FIRST HEARTLAND CONSULTANTS, INC. located in Tucson, Arizona and FIRST HEARTLAND CAPITAL, INC. located in Tucson, Arizona.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. David has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

What are your service offerings?

Family Finances

Retirement Planning Strategies

Insurance

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.

Real Estate Ownership; townhouse; bartlett, IL 60103; Investment Related; April 2001. First Heartland Consultants. IAR. Investment related. Investment advisory services. Start 10/20/23. Avexias Health Solutions. Practice development specialist. Marketing supplements. Not investment related. Start 9/1/24. Rincon Financial. DBA, Market insurance and financial services. Investment related. Start 10/20/23. Mind Shift Financial Coaching. Agent/Broker. Non-investment related. Coaching and training courses for IARs on running their practice. Start 9/1/24.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Scott Hermann'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

October 24, 2023 - Present

FIRST HEARTLAND CONSULTANTS, INC.

RIA

CRD#: 110377

TUCSON, AZ

Current

October 20, 2023 - Present

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

TUCSON, AZ

Past

July 13, 2022 - November 9, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TUCSON, AZ

Past

December 6, 2019 - July 12, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Bensenville, IL

Past

October 31, 2019 - July 12, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 27, 2017 - November 7, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

GRAYSLAKE, IL

Past

October 19, 2015 - November 7, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

GRAYSLAKE, IL

Past

August 8, 2014 - September 10, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

DOWNERS GROVE, IL

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".

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND ADVISORS INC | FIRST HEARTLAND CONSULTANTS, INC.

CRD#: 110377 / SEC#: 801-46595

RIA

Registered Investment Advisory firm - (5/23/1994 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.

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

IAR

Arizona
(10/24/2023)

Arizona
(10/25/2023)

Georgia
(12/7/2023)

Nevada
(1/2/2025)

North Carolina
(5/7/2024)

South Carolina
(5/6/2024)

Utah
(10/23/2023)

Washington
(11/15/2023)

Wyoming
(10/30/2023)

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

IAR

Series 65

Date: 10/4/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/15/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/8/2014

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND ADVISORS INC | FIRST HEARTLAND CONSULTANTS, INC.

CRD#: 110377 / SEC#: 801-46595

RIA

Registered Investment Advisory firm - (5/23/1994 Approved)

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Contact information

Main Address

4101 Lake St. Louis Blvd, Lake St. Louis, MO 63367

Mailing Address

Phone number

(636) 625-0900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST HEARTLAND CONSULTANTS, INC. (2/26/2025)

FIRST HEARTLAND CONSULTANTS INC. APPENDIX 1 TO FORM ADV PART 2A - FIRST HEARTLAND ASSET STRATEGIES WRAP FEE PROGRAM (2/26/2025)

FIRST HEARTLAND CONSULTANTS INC-APPENDIX I TO ADV PART 2A WRAP FEE PROGRAM (2/26/2025)

FIRST HEARTLAND CONSULTANTS, INC.-APPENDIX I TO FORM ADV PART 2A-RETIREMENT PLAN WRAP SERVICES (2/26/2025)

Regulatory assets under management

Total Number of Accounts	9,231
AUM (Assets Under Management)	$ 1,771,078,009

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/13/2025	Cover Page	Report
08/12/2024	Cover Page	Report
12/07/2023	Cover Page	Report

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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David S. Hermann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Scott Hermann's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST HEARTLAND CAPITAL, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

FIRST HEARTLAND CONSULTANTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/2016

Series 63

Date: 12/1/2014

Series 7TO

Date: 2/15/2023

SIE

Date: 10/1/2018

Series 6

Date: 8/8/2014

FINRA

Current Firm

FIRST HEARTLAND CONSULTANTS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST HEARTLAND CONSULTANTS, INC.

TRUST BUT VERIFY

Contact information

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