About My Practice
Up North Financial, LLC, is a Registered Investment Advisor firm, registered with the SEC, providing financial planning and investment management advice to individuals and businesses. Clients' investments are placed in custody with Fidelity Investments, an industry leader.
Experience
Up North Financial's team of professionals have over 85 years of direct industry experience, and we look forward to applying our expertise to help you with your investment and financial plans. As the managing member, Mark D Herman's education include: CFP certifications 1999 College of Financial Planning, MBA in Finance 1991 University of Chicago, and his BS and MS in Engineering from the University of Michigan and Arizona, respectively.
Registrations, Licenses, Certifications & Affiliations
Securities Registrations or Exam Qualifications
Series 7, 65
Insurance Licenses
Life insurance: MI, Health/disability insurance: MI, Fixed annuities: MI, Variable annuities: MI
Designations & Certifications
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Other - MBA, University of Chicago
I will provide a free initial consultation to prospective clients so we may determine if their needs and my practice are well-matched.
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