Mike Herman Email & Phone Number
Chief Compliance Officer @ Apollon Wealth Management, LLC
5 free lookup(s).
If you need more lookups,
subscriptions start at $34 USD/month.
Mike Herman Location
- Costa Mesa, CA, US
Mike Herman Work
- 2021 -now Chief Compliance Officer @
- 2017 -2022 Registered Principal @ Cetera Advisor Networks LLC
- 2019 -2021 Vice President @
- 2019 -2021 Vice President @
- 2008 -2019 Chief Compliance Officer @ United Capital Financial Advisers, LLC
- 2008 -2019 Chief Compliance Officer @ PFE Advisors, Inc
- 2006 -2008 Chief Compliance Officer, Strategic Wealth Advisors Group @ The Financial Services Network
- 1999 -2006 Administrative Principal @
Mike Herman Education
- University at Albany
BA (Psychology)
1994-1996 - North Carolina State University
Marine Biology (Marine Biology)
1992-1993
Mike Herman Skills
- FINRA
- Investment Advisory
- Wealth Management
- Investments
- Mutual Funds
- Series 7
- Series 24
- Risk Management
- Asset Managment
- Retirement Planning
- Securities
- AML
- Microsoft Office
- Marketing
- Microsoft Excel
- Training
- Strategic Planning
Mike Herman Summary
- Mike Herman, based in Costa Mesa, CA, US, is currently a Chief Compliance Officer at Apollon Wealth Management, LLC. Mike Herman brings experience from previous roles at Cetera Advisor Networks LLC, Goldman Sachs and United Capital Financial Advisers, LLC. Mike Herman holds a 1994 - 1996 BA in Psychology @ University at Albany. With a robust skill set that includes FINRA, Investment Advisory, Wealth Management, Investments, Mutual Funds and more. Mike Herman has 2 emails and 2 mobile phone numbers on RocketReach.
Looking for a different Mike Herman?
Find contact details for 700 million professionals.
Others Named Mike Herman
Mike Herman
Managing Director - Reporting and Tax
Atlanta, GA, US
Mike Herman
Chief Compliance Officer
Costa Mesa, CA, US
Mike Herman
CFO
Friendswood, TX, US
Mike Herman
President and General Manager
Owatonna, MN, US
Mike Herman
Director, Team Travel
Minneapolis, MN, US
Mike Herman
Intermodal Marketing Director
Florida, United States
Mike Herman
SVP, Creative Director
Winston-Salem, NC, US
Mike Herman
President
Kansas City, MO, US
Top Apollon Wealth Management, LLC Employees
Jason Rosener
Managing Director
Denver, CO, US
Robert Gorman
Founding Partner and Wealth Management Advisor
Charleston, SC, US
Matthew Baltuch
Managing Director Wealth Manager
New York, NY, US
Michael Dolberg
Founding Partner and CEO
South Carolina, United States
Aymen Kaboub
Managing Director
United States
Mike Herman
Chief Compliance Officer
Costa Mesa, CA, US
Barbara Hull
Vice President Human Resources
Charleston, SC, US
Timothy Hiscock
Founder, Portland Financial Group
Portland, ME, US
Ryan Wibberley
Managing Director
Rockville, MD, US
Kevin Caputo
Managing Director, Wealth Management Advisor
Austin, TX, US
Frank Cappadora
Managing Director
Manchester, MD, US
Dan McCarthy
Managing Partner
Braintree, MA, US
Eric Sterner
Chief Investment Officer
Bridgewater, NJ, US
Luke Dillon
Director, Wealth Management Advisor
Los Angeles, CA, US
Dave Smith
Vice President of Compliance
Palm Desert, CA, US
Ryan Shanks
Chief Growth Officer
Springfield, MA, US
Jill Guess
Director of Alternative Investments
Richmond, VA, US
Joshua Mauk
Managing Director
Chicago, IL, US
Robert Ruelle
Senior Vice President-Financial Planning
Richfield, WI, US
G2 Crowd Trusted
300K+ Plugin Users
© 2026 RocketReach.co