Michael Herman has been Chief Compliance Officer of Apollon Wealth Management since December 2021, is a control person of the firm and directly owns under 5% of it.
Apollon Wealth Management, LLC is a Mount Pleasant, SC firm with $11.6B under management, 8,389 clients and 115 advisers across 52 offices, as of its September 2026 filing.
Michael Herman’s longest registration was 12 years at Goldman Sachs Personal Financial Management (2009–2021). Before joining Apollon Wealth Management in 2022, Michael Herman was registered through Pfe Advisors, Inc. and Goldman Sachs Personal Financial Management.
- Apollon Financial, LLCAlso current– present · 4 yearsCosta Mesa, CA · Adviser representative · Firm CRD 321217
- – present · 4 yearsCosta Mesa, CA · Adviser representative · Firm CRD 291902
- Pfe Advisors, Inc.– · 6 yearsNewport Beach, CA · Adviser representative · Firm CRD 144798
- Goldman Sachs Personal Financial Management– · 12 yearsNewport Beach, CA · Adviser representative · Firm CRD 134600
- Strategic Wealth Advisors Group– · 2 yearsSan Mateo, CA · Adviser representative · Firm CRD 140977
- FSC Securities Corporation– · 2 yearsSan Mateo, CA · Adviser representative · Firm CRD 7461
- Citicorp Investment Services– · 2 yearsFountain Valley, CA · Adviser representative · Firm CRD 23988
Investment adviser representative registrations
Michael Herman is registered as an investment adviser representative in 2 states. The first approvals date from January 2022; the most recent is Illinois, in September 2022.
- CaliforniaSince 14 January 2022
- IllinoisSince 2 September 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 20 March 2024 |
| Series 53 | Municipal Securities Principal Examination | 20 March 2024 |
| Series 4 | Registered Options Principal Examination | 20 March 2024 |
| Series 7TO | General Securities Representative Examination | 20 March 2024 |
| Series 52TO | Municipal Securities Representative Examination | 20 March 2024 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 4 April 2007 |
| Series 31 | Futures Managed Funds Examination | 5 February 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 30 January 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 August 1997 |
| Series 7 | General Securities Representative Examination | 15 August 1997 |
- Name
- General Securities Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Representative Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Anson Herman
- CRD
- 2787565
- Firm
- Apollon Wealth Management · CRD 291902
- Role
- Chief Compliance Officer
- Office
- Costa Mesa, CA
- Registration
- Investment adviser registration
- In the industry since
- February 1998
- Disciplinary history
- Not yet shown here · SEC record
Where does Michael Herman work?
Michael Herman has been Chief Compliance Officer of Apollon Wealth Management, LLC since December 2021, and is a control person of the firm.
Is Michael Herman a financial advisor?
Yes. Michael Herman has a current investment-adviser registration in California and Illinois, through Apollon Wealth Management since January 2022.
How many years of experience does Michael Herman have?
Michael Herman has 28 years in the financial industry, since February 1998, across 7 adviser firms.
What exams has Michael Herman passed?
Michael Herman has passed 10 licensing exams: the Series 7, Series 63, Series 65, Series 31, Series 3, Series 24, Series 53, Series 4, Series 7TO and Series 52TO. The earliest, the Series 7, was passed in August 1997. FINRA credited Michael Herman with the SIE, which began in October 2018.
Where did Michael Herman work before Apollon Wealth Management?
Before Apollon Wealth Management, Michael Herman was registered through Pfe Advisors, Inc., December 2013 to September 2020; Goldman Sachs Personal Financial Management, May 2009 to December 2021; Strategic Wealth Advisors Group, September 2006 to October 2008; FSC Securities Corporation, February 2006 to October 2008; Citicorp Investment Services, March 2004 to May 2006.
Where is Michael Herman based?
Michael Herman’s registered office is in Costa Mesa, CA.
Is Michael Herman registered with FINRA?
No. Michael Herman has no current broker registration.
How can I verify Michael Herman’s record?
Search CRD 2787565 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Herman’s full registration record.
