Mike Herman Bw

Mike Herman

Chief Compliance Officer

What's your dream for the company?

I want the company to prove that you can win with a positive culture. Frankly, there's too much greed and selfishness in our industry, and I think we can restore the public faith.

What are three words people use to describe you?

Fair, proactive, problem-solver.

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

Health and happiness for my family and friends. I'm a newlywed and about to be a dad—it's amazing.

What's your MoneyMind®?


Mike serves on United Capital's Executive Committee and is responsible for overseeing day-to-day compliance and regulatory oversight for United Capital Financial Advisers and PFE Advisors Inc. Mike's responsibilities include administering the firms compliance program, conducting an annual review of United Capital and PFE Advisors, SEC exam preparation, the point person for all regulatory interactions, conducting new adviser due diligence and procedures and code of ethics maintenance.