Adam Herman

GLOBAL WEALTH STRATEGIES AND ASSOCIATES

DENVER, CO 80209

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CRD#: 7156086

Professional summary

Adam Herman is a registered financial advisor currently at GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC located in Denver, Colorado.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Adam has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.

NAME: Scratch Capital, LLC. INV REL: N ADD: Residential NATURE: provide marketing services POSITION: Owner START DATE: 01/14/2020 NO. HR/MO: 120 NO. HR/MO DURING SEC TRADING: 120 NAME: Scratch Real Estate Holdings, LLC. INV REL: N ADD: Residential NATURE: Holding company for personal investment properties POSITION: Owner START DATE: 01/15/2021 NO. HR/MO: 120 NO. HR/MO DURING SEC TRADING: 120

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam 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

November 8, 2021 - Present

GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC

Office #1: 3200 Cherry Creek South Drive Suite 700, Denver, CO 80209

RIA

CRD#: 316072

DENVER, CO

Past

January 13, 2021 - October 29, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Denver, CO

Past

February 25, 2020 - October 29, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

Denver, CO

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".

GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC

GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC | GWS&A

CRD#: 316072 / SEC#: 801-122556

RIA

Registered Investment Advisory firm - (10/25/2021 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

Colorado
(11/8/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/12/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/25/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/27/2019

Securities Industry Essentials Examination

Current Firm

GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC

GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC | GWS&A

CRD#: 316072 / SEC#: 801-122556

RIA

Registered Investment Advisory firm - (10/25/2021 Approved)

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Contact information

Main Address

3200 Cherry Creek South Drive Suite 280, Denver, CO 80209

Mailing Address

Phone number

(720) 420-4870

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	2,623
AUM (Assets Under Management)	$ 369,633,958

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/13/2025	Cover Page	Report
11/20/2024	Cover Page	Report
10/20/2023	Cover Page	Report
01/20/2023	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.

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Adam Herman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2020

Series 7TO

Date: 2/25/2020

SIE

Date: 8/27/2019

Current Firm

GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC

TRUST BUT VERIFY

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