Adam Herman has been an investment adviser representative at Global Wealth Strategies and Associates since November 2021, and is not listed among the firm’s executive officers or direct owners.
Global Wealth Strategies and Associates, LLC is a Denver, CO firm with $457M under management, 925 clients and 9 advisers across 2 offices, as of its May 2026 filing.
Adam Herman’s longest registration is the current one, 4 years at Global Wealth Strategies and Associates since 2021. Before joining Global Wealth Strategies and Associates in 2021, Adam Herman was registered through MML Investors Services, LLC.
- – present · 4 yearsDenver, CO · Adviser representative · Firm CRD 316072
- MML Investors Services, LLC– · under a yearDenver, CO · Adviser representative · Firm CRD 10409
Investment adviser representative registrations
Adam Herman is registered as an investment adviser representative in Colorado, since November 2021.
- ColoradoSince 8 November 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 12 December 2020 |
| Series 7TO | General Securities Representative Examination | 25 February 2020 |
| SIE | Securities Industry Essentials Examination | 27 August 2019 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- CRD
- 7156086
- Firm
- Global Wealth Strategies and Associates · CRD 316072
- Office
- 3200 CHERRY CREEK SOUTH DRIVE, SUITE 280, Denver, CO 80209
- Registration
- Investment adviser registration
- In the industry since
- March 2020
- Disciplinary history
- Not yet shown here · SEC record
Where does Adam Herman work?
Adam Herman is an investment adviser representative registered through Global Wealth Strategies and Associates, LLC since November 2021, and is not listed among the firm’s executive officers or direct owners.
Is Adam Herman a financial advisor?
Yes. Adam Herman has a current investment-adviser registration in Colorado, through Global Wealth Strategies and Associates since November 2021.
How many years of experience does Adam Herman have?
Adam Herman has 6 years in the financial industry, since March 2020, across 2 adviser firms.
What exams has Adam Herman passed?
Adam Herman has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in August 2019.
Where did Adam Herman work before Global Wealth Strategies and Associates?
Before Global Wealth Strategies and Associates, Adam Herman was registered through MML Investors Services, LLC, January 2021 to October 2021.
Where is Adam Herman based?
Adam Herman’s registered office is in Denver, CO.
Is Adam Herman registered with FINRA?
No. Adam Herman has no current broker registration.
How can I verify Adam Herman’s record?
Search CRD 7156086 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Adam Herman’s full registration record.