DH
DH

David Alan Herman

29 Years of Experience
Broker
Areas of Practice
Investment Management
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
527 advisors
Number of Clients
44,045 clients
Average Client Portfolio
$257K average
Assets Under Management
$11.3B

Fee Structure

Minimum Investment:$2K
Financial Planning:Investment management only
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Location

1906 Towne Centre Blvd, Suite 260, Annapolis, MD, 21401

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

David works as an investment advisor representative at Scarborough Capital Management, an SEC registered investment advisor, since 2004. This takes about half of his time.

Employment History
Current Registrations
Independent Financial Group, LLCBroker
January 2018 - Present · 8 yrs 1 mo
Scarborough Capital Management
January 2014 - Present · 12 yrs 1 mo
Previous Registrations
Sii Investments, INC.Broker
December 2008 - December 2017 · 9 yrs
Scarborough Capital Management, INC.
May 2003 - January 2014 · 10 yrs 8 mos
Royal Alliance Associates, INC.Broker
May 2003 - December 2008 · 5 yrs 7 mos
Morgan Stanley
February 2002 - April 2003 · 1 yr 2 mos
Morgan Stanley Dw INC.Broker
February 2002 - April 2003 · 1 yr 2 mos
T. Rowe Price Investment Services, INC.Broker
March 1996 - February 2002 · 5 yrs 11 mos
State Registrations36 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.
David Alan Herman - Financial Advisor | TrueAdvisor