Company's 401(k) Plan.
03 May 2010
Tina Herrmann joined the Smart Investor in 2001, bringing with her over 25 years of financial services industry experience. Currently, Tina serves the team as the Vice President of Client Services & Chief Compliance Officer, where her main focus is handling client services for the firm.
As an Investment Advisor Representative for Smart Investor, Tina helps set and maintain the Smart Investor’s high standards of client service and communication and is also responsible for the firm’s qualified retirement plan (401(k)) client and sponsor oversight. Tina is also the firm's Chief Compliance Officer and is responsible for developing and monitoring the firm's compliance program, ensuring that all activities of the firm meet regulatory requirements.
Tina graduated with honors from the University of California, Santa Barbara and subsequently worked at several Registered Investment Adviser firms and Broker Dealers in the Sacramento area prior to joining the Smart Investor team. Tina has served in many positions including Senior Trader, Client Services Supervisor, Director of Operations, Senior Vice President RIA Broker Dealer Operations & Compliance.
Tina is devoted to her clients, and because of her vast experience in the financial services industry, especially in areas of operations, she feels strongly about doing what she can to protect clients from being taken advantage of by brokers who might just be out to make a buck. Tina firmly believes in the fee only, low cost, fully diversified style of management that Smart Investor practices.
Tina lives in Colfax with her husband John and the couple has one adult son, Colin. In her free time she enjoys interacting with her two dogs and two cats, as well as camping, quilting and gardening.