Caryn Westman
Corporate Secretary, Senior Vice President/Enterprise Risk Management
Ms. Westman is a founding member of the firm and is currently responsible for all corporate governance and regulatory compliance. She also serves on the Executive Committee and on the acquisitions and due diligence teams.
Ms. Westman has been in the financial services industry for over 20 years, including more than 15 years handling Investment Adviser regulatory matters. Prior to joining UCFP, Ms. Westman was the Corporate Secretary and Regulatory Compliance Consultant for United Capital Partners, LLC, a private investment group handling private investments in public securities.
Ms. Westman previously served for 10 years as Corporate Secretary, Director of Compliance, and Regulatory Compliance Consultant for Centurion Capital Group Inc., parent to Centurion Capital Management Corp. and Centurion Trust Company, a privately-held professional asset management firm with over $2 billion of Client assets under management at that time. Centurion Capital Group consisted of six affiliated corporations including investment management a trust company. In this capacity, Ms. Westman was responsible for corporate governance and Investment Adviser Act regulatory compliance. She also served on the acquisitions and due diligence teams and acted as chief liaison with all outside corporate, securities and ERISA counsel. After Centurion was acquired by GE Financial Assurance Holdings, Inc. in 2001, Ms. Westman served as a consultant for investment advisory regulatory compliance and corporate governance matters to GE Private Asset Management, Inc. (now Genworth Financial Asset Management, Inc.) and GE Financial Trust Company (now Genworth Financial Trust Company).
Ms. Westman holds an MA in Secondary Education/Art and English endorsements as well as a BA in English and Writing. BA in English and Writing, both from Drake University in Des Moines, Iowa. She also holds FINRA Series 7, 24, and 63 securities licenses and the NASAA Series 65 Uniform Investment Adviser Law Exam.
Mike Herman
Chief Compliance Officer
Mike is currently responsible for overseeing day to day compliance for United Capital, including the Annual Review, Advertisement and Marketing reviews, SEC exam preparation, AML supervision, and Policy & Procedure Manual and Business Continuity Plan maintenance.
Mike has been in the financial services industry for more then 12 years. Most recently, Mike was the Director of Sales Practice for The Financial Services Network, an Office of Supervisory Jurisdiction, consisting of a large producer group of broker dealer registered representatives and investment adviser representatives based out of Northern California. For his former company, Mike helped establish an investment advisory firm registered with the SEC.
Mike holds a Bachelors of Arts degree in Psychology from the State University of New York at Albany. He holds FINRA Series 3, 4, 7, 24, 31, 53 and 63 securities licenses and the NASAA Series 65 Uniform Investment Adviser Law Exam.
Mike enjoys international travel, photography and spending time outdoors.