Elizabeth Anne Herman

Current Employers

Employment History

• 07/2014 → 09/2016
  Mass Mutual
  Horsham, PA
• 07/2014 → 09/2016
  Mml Investors Services
  Horsham, PA
• 09/2016 → 11/2017
  Mid Atlantic Capital Corporation
  Pennsburg, PA
• 09/2016 → 11/2017
  Mid Atlantic Financial Management, Inc.
  Pittsburgh, PA
• 09/2016 → Present
  Lam Financial Services
  Pennsburg, PA
• 11/2017 → 01/2024
  Woodbury Financial Services Inc
  Pennsburg, PA
• 01/2024 → Present
  Osaic Wealth, Inc.
  Telford, PA

Previous Registrations

• 2017-11-03 → 2024-01-19
  Woodbury Financial Services, Inc.
  Pennsburg, PA
  Telford, PA
• 2016-09-22 → 2017-11-06
  Mid Atlantic Financial Management, Inc.
  Pennsburg, PA
  Pittsburgh, PA
• 2016-03-02 → 2016-09-22
  Mml Investors Services, Llc
  Horsham, PA

Other Businesses

1) SHERPA FINANCIAL POSITION: Registered Investment Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 30 START DATE: 06/01/2019 ADDRESS: 528 W. Market St., Perkasie PA 18944, United States DESCRIPTION: Financial planning services, including development of financial plans and providing guidance as to appropriate financial products and/or services. Sales of securities, investment products, and life/disability/long term care insurance produces. 2) TELFORD HAPPENINGS, INC. POSITION: Secretary NATURE: Non-profit community event organization. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 50 Penn Ave., Telford PA 18969, United States DESCRIPTION: Take notes during Board Meetings. 3) ELIZABETH (LIZ) HERMAN POSITION: Facilitator NATURE: Financial Education and workshops only - no product sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2025 ADDRESS: 1690 Sumneytown Pike, Suite 250 PMB 1926, Lansdale PA 19446, United States DESCRIPTION: Producing compliance-approved, non-product specific financial education presentations and presenting them to various audiences via in-person or remote media apps (Zoom/Facebook) 4) ROSEMONT ELDER LAW POSITION: Board Secretary NATURE: To establish a Legal Aid focused non-profit organization to service Southeast Pennsylvania with Pro-Bono and Low-Bono elder law services in a way that will increase and strengthen the communities in which we operate. We will focus on providing affordable Estate Planning documents, Medicaid Planning Advice, deed transfers, probate, guardianship petitions and other services associated with elder law to low- and median-income families who are within specified ranges related to Federal Poverty Level Guidelines and who cannot afford regular attorney or elder law services. I personally will not be providing any these services, I am only an Executive Board Member. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/14/2025 ADDRESS: 101 Lindenwood Dr. Ste. 225, Malvern PA 19355, United States DESCRIPTION: As Board Secretary, I will be taking minutes of Board meetings, and providing input as to strategic direction of the services provided. I WILL NOT be accessing any financial activities of the non-profit, NOR will I be paid in any capacity for any duties performed. Nor will I be performing any key functions of the organization's operations. 6. TELFORD HAPPENINGS, INC. POSITION: Chair/Secretary NATURE: Non-profit community event organization. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 06/30/2026 ADDRESS: 50 Penn Ave., Telford PA 18969, United States DESCRIPTION: Take notes during Board Meetings.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-02-09
• S63 Uniform Securities Agent State Law Examination
  1998-03-06

Other Names

• Elizabeth Anne Clark
• Liz Herman