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Michael Anson Herman

Apollon Financial, LLC

Costa Mesa, CA

Apollon Wealth Management, LLC

Costa Mesa, CA

Mount Pleasant, SC

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Current Employers
Apollon Financial, Llc

111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-09-02
  • IL RA
    APPROVED
    Since 2022-09-02

Branch Locations

Costa Mesa, CA • United States

Apollon Wealth Management, Llc

111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-01-14
  • CA RA
    APPROVED
    Since 2022-01-14

Branch Locations

Costa Mesa, CA • United States

111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Girard Securities, Inc. San Diego CA 10/2008 11/2017
Pfe Advisors, Inc Newport Beach CA 10/2008 07/2019
United Capital Financial Advisers, Llc Newport Beach CA 06/2009 07/2019
Cetera Advisor Networks Llc El Segundo CA 11/2017 09/2020
Goldman Sachs & Co. Llc Newport Beach CA 07/2019 12/2021
Apollon Wealth Management, Llc Costa Mesa CA 12/2021 Present
Apollon Financial, Llc Costa Mesa CA 06/2022 Present
  • 10/2008 → 11/2017
    Girard Securities, Inc.
    San Diego, CA
  • 10/2008 → 07/2019
    Pfe Advisors, Inc
    Newport Beach, CA
  • 06/2009 → 07/2019
    United Capital Financial Advisers, Llc
    Newport Beach, CA
  • 11/2017 → 09/2020
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 07/2019 → 12/2021
    Goldman Sachs & Co. Llc
    Newport Beach, CA
  • 12/2021 → Present
    Apollon Wealth Management, Llc
    Costa Mesa, CA
  • 06/2022 → Present
    Apollon Financial, Llc
    Costa Mesa, CA
Previous Registrations
  • 2009-05-07 → 2021-12-10
    United Capital Financial Advisors
    Newport Beach, CA
    Newport Beach, CA
  • 2013-12-11 → 2020-09-18
    Pfe Advisors, Inc.
    Newport Beach, CA
    Newport Beach, CA
  • 2006-09-05 → 2008-10-21
    Strategic Wealth Advisors Group
    San Mateo, CA
  • 2006-02-14 → 2008-10-08
    Fsc Securities Corporation
    San Mateo, CA
    San Mateo, CA
  • 2004-03-08 → 2006-05-12
    Citicorp Investment Services
    Fountain Valley, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-30
S63 Uniform Securities Agent State Law Examination 1997-08-21
  • S65 Uniform Investment Adviser Law Examination
    1998-01-30
  • S63 Uniform Securities Agent State Law Examination
    1997-08-21

View on SEC IAPD

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