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NH

Nicholas F. Herman

ELITE FINANCIAL GROUP
Gaithersburg, MD 20878
Some features on this profile are disabled
CRD#: 7172955
NH

Professional summary

Nicholas Frederick Herman, who also goes by Nick Herman, is a registered financial advisor currently at ELITE FINANCIAL GROUP located in Gaithersburg, Maryland.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Nicholas has worked at 1 firm and has passed the Series 65 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nick Herman

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. CEO - Capital Custom Contractors - General Contractor Gaithersburg, MD 2. Real Estate Agent - HomeStar Realty, Bethesda, MD 3. Insurance Agent with various insurance companies offering life insurance, long term care insurance, disability insurance, and fixed and equity indexed annuities. Approximately 25 hours a week are spent on all outside business activity

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Frederick 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®
None

Experience

Current

August 2, 2021 - Present

ELITE FINANCIAL GROUP

Office #1: 17b Firstfield Rd Ste 108, Gaithersburg, MD 20878
RIA
CRD#: 315997
Gaithersburg, MD

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
District of Columbia
(8/20/2021)
IAR
Florida
(3/22/2024)
IAR
Maryland
(8/2/2021)
IAR
North Carolina
(6/25/2024)
IAR
Texas
(7/15/2024)
IAR
Virginia
(8/30/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/23/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/1/2019
Securities Industry Essentials Examination

Current Firm

EF
ELITE FINANCIAL GROUP
ELITE FINANCIAL GROUP | ELITE FINANCIAL GROUP, INC.

CRD#: 315997 / SEC#:

District of Columbia
Registered Investment Advisory firm - (8/20/2021 Approved)
Florida
Registered Investment Advisory firm - (3/22/2024 Approved)
Maryland
Registered Investment Advisory firm - (7/28/2021 Approved)
North Carolina
Registered Investment Advisory firm - (6/24/2024 Approved)
Texas
Registered Investment Advisory firm - (7/15/2024 Conditional Restricted)
Virginia
Registered Investment Advisory firm - (8/30/2021 Approved)
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Contact information

Main Address
17b Firstfield Rd Ste 108, Gaithersburg, MD 20878
Mailing Address
Phone number
(240) 454-7079
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts86
AUM (Assets Under Management)$ 30,145,367

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

ELITE FINANCIAL GROUP

CRD#: 315997Gaithersburg, MD 20878

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