Mike Herman - Chief Compliance Officer - United Capital

Mike Herman

Vice President, Chief Compliance Officer

What's your dream for the company?

Our clients’ wealth is to be respected. I would like to see our company be great stewards of the assets that our clients entrust us with helping to supervise.

What are three words people use to describe you?

Fair, proactive, problem-solver.

When you are not working, what do you care about most?

Taking great adventures with my family whether near, home, or away.

What's your MoneyMind®?


Mike has served as United Capital’s Chief Compliance Officer since 2008 and is responsible for overseeing day-to-day compliance and regulatory oversight for the firm. Mike oversees a team of exceptional compliance professionals. He administers the firm’s compliance program, conducts an annual review of United Capital and PFE Advisors, and is the point person for all SEC and State regulatory interactions. As the SEC point person, Mike conducts new advisor due diligence, procedures, and code of ethics maintenance.

Mike started in the financial industry as an advisor and later moved to support and supervision roles. Mike’s supervisory experience before joining United Capital included acting as the OSJ for a large producer group of over 200 advisors registered with FSC Securities. As CCO, Mike helped establish a newly registered investment advisor, Strategic Wealth Advisors Group. Spending six years at Citigroup, Mike supervised advisors in Citibank branches throughout Orange County, CA.

Registered Administrative Assistant of Cetera Advisor Networks LLC (“Cetera”), member FINRA/SIPC. Investment Advisory services offered through United Capital Financial Advisers, LLC (“United Capital”), an investment adviser registered with the SEC, and an affiliate of Goldman Sachs & Co. LLC and subsidiaries of The Goldman Sachs Group, Inc., a worldwide, full-service investment banking, broker-dealer, asset management and financial services organization. United Capital does not provide legal, tax or accounting advice. Clients should obtain their own independent legal, tax or accounting advice based on their particular circumstances. Cetera is under separate ownership from any other named entity.