Mark Herman
UP North Financial · Traverse City, Michigan
Mark Herman is a fee-only financial advisor at UP North Financial in Traverse City, Michigan, who holds the CFP credential. UP North Financial reports charging a percentage of assets and fixed fees on its Form ADV.
Request an introduction to Mark →
Facts
| Firm | UP North Financial |
|---|---|
| Based in | Traverse City, Michigan |
| Fee model (firm's Form ADV) | Percentage of assets · Fixed fees |
| Assets under management | $203.8M across 1,065 accounts |
| Credentials | CFP |
| SEC registration | Investment adviser representative in MI, TX · CRD 2190754 |
| Exams passed | Series 63 (1992) · Series 65 (1996) |
| Firm size | 4 employees |
| Disclosures | None reported |
| Website | www.upnorthfinancial.com |
| Profile |
How Mark's firm compares
- UP North Financial's average account is about $191,000, from its Form ADV (assets managed divided by 1,065 accounts).
Request an introduction to Mark
Tell Mark a little about what you're looking for. Mark isn't on Wellspent yet, so we'll let them know you're looking for help and pass your message on when they join. No cost, no obligation.
Questions about Mark
Is Mark Herman a fee-only financial advisor?
Yes, according to SEC records as of October 29, 2026: Mark holds no broker registration, and UP North Financial reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.
How does Mark charge for financial advice?
Mark's firm, UP North Financial, reports charging a percentage of assets and fixed fees on its SEC Form ADV.
Where is Mark Herman based?
Mark Herman is based in Traverse City, Michigan.
What credentials does Mark Herman hold?
Mark Herman holds the CFP credential.
Is Mark Herman registered with the SEC?
Yes. Mark Herman is registered as an investment adviser representative in MI and TX (CRD 2190754), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.
How much does UP North Financial manage?
UP North Financial reports $203.8M across 1,065 accounts in assets under management.
How do I contact Mark Herman?
Through Mark's website, www.upnorthfinancial.com.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
See something wrong? Request a correction. Read our methodology.