Ross Herman has been an investment adviser representative at Sonoma Private Wealth since March 2021, and is not listed among the firm’s executive officers or direct owners.
Sonoma Private Wealth LLC is a Novato, CA firm with $158M under management, 85 clients and 3 advisers across 3 offices, as of its September 2026 filing.
Ross Herman’s longest registration is the current one, 17 years at Hip Investor, Inc. since 2009.
- Sonoma Private Wealth LLCCurrent– present · 5 yearsHighland Park, IL · Adviser representative · Firm CRD 308547
- Hip Investor, Inc.Also current– present · 17 yearsHighland Park, IL · Adviser representative · Firm CRD 149825
Investment adviser representative registrations
Ross Herman is registered as an investment adviser representative in 6 states. The first approvals date from June 2009; the most recent is Massachusetts, in September 2024.
- CaliforniaSince 9 June 2009
- IllinoisSince 7 May 2010
- LouisianaSince 10 April 2023
- MassachusettsSince 11 September 2024
- New YorkSince 25 July 2023
- North CarolinaSince 4 April 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 May 2009 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Ross Paul Herman
- CRD
- 5650505
- Firm
- Sonoma Private Wealth · CRD 308547
- Office
- Highland Park, IL
- Registration
- Investment adviser registration
- In the industry since
- June 2009
- Disciplinary history
- Not yet shown here · SEC record
Where does Ross Herman work?
Ross Herman is an investment adviser representative registered through Sonoma Private Wealth LLC since March 2021, and is not listed among the firm’s executive officers or direct owners.
Is Ross Herman a financial advisor?
Yes. Ross Herman has a current investment-adviser registration in California, Illinois, Louisiana, Massachusetts, New York and North Carolina, through Sonoma Private Wealth since March 2021.
How many years of experience does Ross Herman have?
Ross Herman has 17 years in the financial industry, since June 2009, across 2 adviser firms.
What exams has Ross Herman passed?
Ross Herman passed the Series 65 in May 2009.
Where is Ross Herman based?
Ross Herman’s registered office is in Highland Park, IL.
Is Ross Herman registered with FINRA?
No. Ross Herman has no current broker registration.
How can I verify Ross Herman’s record?
Search CRD 5650505 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Ross Herman’s full registration record.