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Christopher Michael Herrmann

Vertical Wealth, LLC

Indianapolis, IN

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Current Employers
Vertical Wealth, Llc

6402 Corporate Drive Suite 102, Indianapolis, IN 46278 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2016-05-04
  • IN RA
    APPROVED
    Since 2016-05-04

Branch Locations

6402 Corporate Drive Suite 102, Indianapolis, IN 46278 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Legacy Practice Management Plainfield IN 04/2016 Present
  • 04/2016 → Present
    Legacy Practice Management
    Plainfield, IN
Previous Registrations
  • 2011-09-27 → 2015-05-19
    Key Investment Services Llc
    Martinsville, IN
    Indianapolis, IN
    Dayton, OH
    Zionsville, IN
    Indianapolis, IN
    Indianapolis, IN
    Greenwood, IN
  • 2008-05-30 → 2011-08-01
    Sanctuary Securities, Inc.
    Indianapolis, IN
  • 2004-07-28 → 2008-05-27
    Morgan Keegan & Company, Llc
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
  • 2003-04-07 → 2004-08-05
    Union Planters Investment Advisors, Inc.
    Indianapolis, IN
  • 2001-11-06 → 2003-03-26
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Indianapolis, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-06-08
S63 Uniform Securities Agent State Law Examination 2000-02-23
  • S65 Uniform Investment Adviser Law Examination
    2001-06-08
  • S63 Uniform Securities Agent State Law Examination
    2000-02-23
Other Names
  • Christopher M Herrmann

View on SEC IAPD

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