Mark Herman has been Managing Member / Chief Compliance Officer of Up North Financial since August 2009, is a control person of the firm and directly owns 75% or more of it.
Up North Financial, LLC is a Traverse City, MI firm with $204M under management, 337 clients and 2 advisers in one office, as of its March 2026 filing.
- Up North Financial, LLCCurrent– present · 4 yearsTraverse City, MI · Adviser representative · Firm CRD 150996
Investment adviser representative registrations
Mark Herman is registered as an investment adviser representative in 2 states. Each was approved in December 2021.
- MichiganSince 23 December 2021
- TexasSince 23 December 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 31 January 1997 |
| Series 65 | Uniform Investment Adviser Law Examination | 9 December 1996 |
| Series 7 | General Securities Representative Examination | 26 November 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 January 1992 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 13 January 1992 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Mark Donald Herman
- CRD
- 2190754
- Firm
- Up North Financial · CRD 150996
- Role
- Managing Member / Chief Compliance Officer
- Office
- 223 EAST STATE STREET, SUITE 200, Traverse City, MI 49684
- Registration
- Investment adviser registration
- In the industry since
- March 1992
- Disciplinary history
- Not yet shown here · SEC record
Where does Mark Herman work?
Mark Herman has been Managing Member / Chief Compliance Officer of Up North Financial, LLC since August 2009, and is a control person of the firm.
Is Mark Herman a financial advisor?
Yes. Mark Herman has a current investment-adviser registration in Michigan and Texas, through Up North Financial since December 2021.
How many years of experience does Mark Herman have?
Mark Herman has 34 years in the financial industry, since March 1992, across 1 adviser firm.
What exams has Mark Herman passed?
Mark Herman has passed 6 licensing exams: the Series 63, Series 6, Series 7, Series 65, Series 31 and Series 99TO. The earliest, the Series 63, was passed in January 1992. FINRA credited Mark Herman with the SIE, which began in October 2018.
Where is Mark Herman based?
Mark Herman’s registered office is in Traverse City, MI.
Is Mark Herman registered with FINRA?
No. Mark Herman has no current broker registration.
How can I verify Mark Herman’s record?
Search CRD 2190754 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mark Herman’s full registration record.