Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michelle? Claim Your ProfileMichelle Lynn Herman is a financial advisor registered with UBS Financial Services Inc. Michelle has over 20 years of experience in the financial services industry. Michelle specializes in providing financial advice and investment management services to individuals, families, and businesses. Michelle is committed to helping her clients achieve their financial goals. Prior to joining UBS, Michelle worked with PNC Investments and NatCity Investments. Michelle is licensed to sell insurance products in several states. Michelle holds Series 7, 63 and 65 securities licenses as well as the SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
OH
02/07/2022 - Present
UBS Financial Services Inc. (CLEVELAND OH)
OH
11/13/2009 - 07/07/2021
PNC INVESTMENTS (PEPPER PIKE OH)
OH
02/03/2003 - 11/13/2009
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
MN
09/26/2001 - 11/14/2002
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/26/2001 - 11/14/2002
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 06/07/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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