UP NORTH FINANCIAL, LLC
CRD #150996 SEC #801-120926 TRAVERSE CITY, MI (231) 929-9300
SEC Registered
Total AUM
$186.1M
Discretionary
$173.4M
Employees
4
Clients
25
Accounts
1,010
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Michigan
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 17, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| KOLBER, ALYSSA, MELANIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HERMAN, MARK, DONALD | I | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | E | Control |
| HERMAN, MARK, DONALD | I | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | E | Control |
| HERMAN, MARK, DONALD | I | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | E | Control |
| HERMAN, MARK, DONALD | I | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | E | Control |
| HERMAN, MARK, DONALD | I | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | E | Control |
| HERMAN, MARK, DONALD | I | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | E | Control |
| HERMAN, MARK, DONALD | I | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | E | Control |
| HERMAN, MARK, DONALD | I | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | E | Control |
| HERMAN, MARK, DONALD | I | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | E | Control |
| INTERIM HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
Registrations
Federal
IA
Mar 17, 2025 REGISTERED
Notice Filings (3)
FL MI TX
Address
223 EAST STATE STREETSUITE 200
TRAVERSE CITY, MI 49684
United States
Phone: (231) 929-9300