Up North Financial®, LLC, a Registered Investment Advisor firm, is managed by Mark D. Herman. Investments that you entrust to our firm are placed in custody with Fidelity Investments, an industry leader.
Up North Financial’s team of professionals have 90 years of direct industry experience, and we look forward to applying our expertise to help you with your investment and financial plans. Working together we will take the time to understand your financial concerns and work in partnership with you to develop a customized investment program that can best meet your needs.
Mark D. Herman, CFP®, MBA
CERTIFIED FINANCIAL PLANNER™, Investment Manager
Mark’s education includes:
CFP®, CERTIFIED FINANCIAL PLANNER™, 1999 College of Financial Planning
MBA / Finance, 1991 University of Chicago
MS / Engineering, 1989 University of Arizona
BS / Engineering, 1986 University of Michigan
Series 65 Licensed
Mark's associations and business experiences include:
Rotarian Past President
MemberBetter Business Bureau
Member Financial Planning Association
2009 - Present: Up North Financiall®, LLC, Managing Member, Investment Manager
1996 - 2009: Morgan Stanley Smith Barney, Portfolio Manager and
Senior Investment Management Consultant
1991 - 1996: State Street Research Securities/MetLife,
Financial Advisor. 1986 - 1989: AT&T, Manager.
Lynne Holmberg / Client Service Manager
Holds her Associates Degree from Muskegon County Community College with 2 years of study at Colorado State University. She has over 30 years of experience at Morgan Stanley Smith Barney helping clients will many aspects of their account and cash management needs.
William Flynn / Investment Manager
Attended University of Iowa and played football, then earned his BA in Business from Northern Michigan University. He then worked as a Financial Advisor, first with Merrill Lynch, and then with Smith Barney, in total for 30 years. Bill looks forward to assisting clients and coordinating with Mark on timely research about interesting investment opportunities and market trends. Together, we look forward to working hard on your investment and financial plans, so you can relax.
Clearing, custody, or other brokerage services may be provided by National Financial Services LLC, or Fidelity Brokerage Services LLC,Members NYSE, SIPC(www.sipc.org).