Up North Financial, LLC

Up North Financial, LLC (CRD# 150996) is a financial advisory firm headquartered in Traverse City, MI. They manage $56,331,914 in 497 accounts and serve the financial needs of clients across 2 states (or territories).

By the Numbers
  • Total Assets Under Management
    56
    MILLION
  • Total Number of Accounts
    497
    ACCOUNTS
  • Average Account Value
    $113,344
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

MI, TX

Financial Advisors at Up North Financial, LLC
Showing 1 - 2 of 2 top financial advisors.
1
Mark D. Herman
CRD#: 2190754
223 East State Street, Suite 200, Traverse City, MI 49684
86
Wealthminder
score

Mark Herman (CRD# 2190754) is an Investment Advisor Representative working at Up North Financial, LLC in Traverse City, MI and has over 24 years of experience in the finance industry. Mark Herman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
William F. Flynn
CRD#: 802730
223 East State Street, Suite 200, Traverse City, MI 49684
83
Wealthminder
score

William Flynn (CRD# 802730) is an Investment Advisor Representative working at Up North Financial, LLC in Traverse City, MI and has over 31 years of experience in the finance industry.

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