William Edward Hermann

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/1967 → Present
  Self Employed
  La Grande, OR
• 04/2008 → 11/2020
  Kms Financial Services, Inc
  Seattle, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  La Grande, OR
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  La Grande, OR
• 06/2024 → Present
  Osaic Wealth, Inc.
  Lagrande, OR
• 06/2024 → Present
  Osaic Wealth, Inc.
  Lagrande, OR

Previous Registrations

• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  La Grande, OR
• 2008-04-01 → 2020-11-06
  Kms Financial Services, Inc.
  Lagrande, OR
  Seattle, WA
  Seattle, WA
• 2002-04-22 → 2008-04-02
  First Allied Securities, Inc.
  La Grande, OR

Other Businesses

1) WM HERMANN DBA HERMANN FINANCIAL POSITION: Agent NATURE: Permanent and term life insurance and fixed annuity sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 03/01/1967 ADDRESS: 107 Elm St, La Grande OR 97850 DESCRIPTION: I entered the life insurance business on March 1, 1967, and have sold and serviced life insurance and annuity products since that time. 2) AQ14LLC POSITION: co-owner (LLC member) NATURE: AQ14LLC Rep is a "member" of this family member entity. The LLC's sole investment and purpose is ownership and management of the office building in which the rep's business is conducted. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 08/01/2012 ADDRESS: 107 Elm St, La Grande OR 97850, United States DESCRIPTION: We purchased the office building in 2012 and moved our financial business into the building as the only tenant. The only activity is ownership, maintaining the building and paying for routine expenses of mortgage, utilities, etc.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-11-30
• S63 Uniform Securities Agent State Law Examination
  1996-05-16

Designations

• Chartered Financial Consultant

Other Names

• Bill Hermann