Advisor at LPL Financial
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Firm
LPL Financial
Location
Friendship, WI
Credentials
ChFC®, Series 63
Industry experience
36 years
Financial planning and consulting services fees may be flat fees up to $10,000, negotiated between client and IAR.
Clients may pay commissions, markups, markdowns, and transaction charges for brokerage services; commissions apply particularly if LPL acts as broker-dealer.
Financial planning and consulting services fees may be hourly, up to $500 per hour.
LPL Financial LLc
2009 - Present (17 years)
Mark Swartzendruber
2005 - Present (21 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Series 63, Series 65
Grand Marsh, WI
Merrill
David Herman serves as a Wealth Management Advisor with Merrill Lynch Wealth Management. Since beginning his career with Merrill in 1977, he has assisted clients in wealth and estate planning services as well as investments. His expertise encompasses college education planning, retirement income, portfolio management, tax minimization, and both individual and corporate investment strategy. Additionally, David is a qualified Portfolio Manager who provides discretionary management of personalized strategies that include individual stocks and bonds, model portfolios, and third-party investment strategies. David earned a Bachelor's degree from Lake Forest College in 1970. He holds several professional designations, including the CERTIFIED FINANCIAL PLANNER® (CFP) certification since 1980, and the Chartered Retirement Planning Counselor™ (CRPC) designation awarded by the College for Financial Planning Institutes Corp. He also holds the Personal Investment Advisor (PIA) designation. Committed to community involvement, David participates with the Wisconsin Department of Natural Resources. Outside of his professional role, his interests include camping, hunting, painting, photography, reading, traveling, and spending time with his family.
CFP®, Series 63, Series 65
Mauston, WI
OSAIC Institutions, INC.
Series 63
Mauston, WI
Edward Jones
Series 63, Series 65
Mauston, WI
LPL Financial
Series 66
Necedah, WI
LPL Financial
Series 66
Mauston, WI
Edward Jones
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