Daniel L. Herman

CLASSIC FINANCIAL & INVESTMENT SERVICES

Niwot, CO

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CRD#: 7476180

Professional summary

Daniel L Herman, who also goes by Daniel Herman, is a registered financial advisor currently at CLASSIC FINANCIAL & INVESTMENT SERVICES, INC. located in Niwot, Colorado.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Daniel has worked at 1 firm and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel L 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 30, 2023 - Present

CLASSIC FINANCIAL & INVESTMENT SERVICES, INC.

RIA

CRD#: 127666

Niwot, CO

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
(8/30/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/2023

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 1/14/2022

Securities Industry Essentials Examination

Current Firm

CLASSIC FINANCIAL & INVESTMENT SERVICES, INC.

CLASSIC FINANCIAL & INVESTMENT SERVICES, INC. | PORTFOLIO SOLUTIONS, INC. | PLUS SIGMA, INC.

CRD#: 127666 / SEC#: 801-64035

RIA

Registered Investment Advisory firm - (6/27/2012 Terminated)

California

Registered Investment Advisory firm - (4/30/2012 Approved)

Colorado

Registered Investment Advisory firm - (6/14/2012 Approved)

New York

Registered Investment Advisory firm - (5/9/2005 Terminated)

Texas

Registered Investment Advisory firm - (4/25/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Niwot, CO

Mailing Address

Phone number

(303) 494-5639

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	168
AUM (Assets Under Management)	$ 60,652,243

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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Daniel L. Herman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CLASSIC FINANCIAL & INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2023

SIE

Date: 1/14/2022

Current Firm

CLASSIC FINANCIAL & INVESTMENT SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CLASSIC FINANCIAL & INVESTMENT SERVICES, INC.

TRUST BUT VERIFY

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