David Herman, financial advisor Grand Marsh WI

David Herman

CRD Number: 836952
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

David Herman (CRD# 836952) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Grand Marsh, WI and has over 42 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Northbrook, IL Jul 2011 - Current 12
Merrill Lynch, Pierce, Fenner & Smith Incorporated Northbrook, IL Jan 1977 - Current 47
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1981
S65 NASAA Investment Advisors Law Examination Jul 1996
Contact Info for David L. Herman
Phone Number: 800-637-7455
Firm Website: https://www.merrill.com
Registered State(s):
  • IL
  • TX
  • WI
By the Numbers
  • Total Assets Under Management
    1,271,594
    MILLIONS
  • Total Number of Accounts
    2,911,578
    ACCOUNTS
  • Average Account Value
    $436,737
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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