Hollis Lynn Herman

Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

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

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

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

Current Employers

Employment History

• 05/2008 → 04/2018
  Rbc Capital Markets Corp
  Chicago, IL
• 04/2018 → 02/2019
  Ameriprise Financial Services Inc
  Chicago, IL
• 02/2019 → 04/2026
  Oppenheimer & Co. Inc
  Chicago, IL
• 04/2026 → 05/2026
  Lpl Financial
  Lisle, IL
• 04/2026 → 05/2026
  Upstream Investment Partners
  Lisle, IL
• 05/2026 → Present
  Oppenheimer & Co. Inc.
  Chicago, IL

Previous Registrations

• 2026-04-24 → 2026-05-15
  Lpl Financial Llc
  Lisle, IL
• 2019-02-13 → 2026-04-24
  Oppenheimer & Co. Inc.
  Chicago, IL
  Niles, IL
• 2018-05-02 → 2019-02-13
  Ameriprise Financial Services, Llc
  Chicago, IL
• 2008-05-05 → 2018-05-08
  Rbc Capital Markets, Llc
  Chicago, IL
• 2006-09-18 → 2008-05-02
  Chase Investment Services Corp.
  Highland Park, IL
• 2004-07-27 → 2006-09-06
  Lasalle Financial Services, Inc.
  Skokie, IL
  Chicago, IL
  Chicago, IL
• 2002-04-17 → 2004-04-13
  Lasalle Financial Services, Inc.
  Chicago, IL
• 2001-10-22 → 2002-04-05
  Ameriprise Financial Services, Llc
  Chicago, IL

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-10-17
• S63 Uniform Securities Agent State Law Examination
  1985-01-23

Other Names

• Hollis Lynn Herman
• Holly Lynn Herman
• Holly Herman
• Holly Lynn Herman
• Hollis Lynn Herman
• Holly Lynn Herman