Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Sherman is a financial professional with over 25 years of experience in the industry. Brian is a Registered Representative and Investment Advisor Representative with Avantax Advisory Services. Brian has held previous roles with Citigroup Global Markets Inc., HD Vest Investment Services, Merrill Lynch, Pierce, Fenner & Smith Incorporated, AXA Advisors, LLC, World Group Securities, Inc., MetLife Securities Inc., Metropolitan Life Insurance Company, C. J. M. Planning Corp., Pruco Securities Corporation, WMA Securities, Inc., MDS Securities Incorporated, and Marketing One Securities, Inc. Brian holds FINRA Series 6, 7, 63, and 65 licenses along with the SIE. Brian is a Certified Financial Planner™. Brian’s areas of expertise include Financial Planning, Retirement Planning, College Savings, Estate Planning, and Insurance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Solicitor referral services to third-party investment managers; participant enrollment meetings
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
NJ
03/01/2018 - Present
Avantax Advisory Services (Bloomfield NJ)
NY
01/26/2017 - 03/15/2018
CITIGROUP GLOBAL MARKETS INC. (Long Island City NY)
NJ
01/29/2016 - 02/03/2017
HD VEST INVESTMENT SERVICES (Bloomfield NJ)
NJ
11/21/2014 - 02/03/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TEANECK NJ)
NJ
04/16/2008 - 11/03/2014
AXA ADVISORS, LLC (JERSEY CITY NJ)
NJ
08/27/2007 - 02/29/2008
H.D. VEST INVESTMENT SERVICES (MONTCLAIR NJ)
GA
03/09/2005 - 11/29/2006
WORLD GROUP SECURITIES, INC. (DULUTH GA)
MA
07/07/2004 - 10/13/2004
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
07/07/2004 - 10/13/2004
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NJ
01/08/2004 - 07/08/2004
C. J. M. PLANNING CORP. (POMPTON LAKES NJ)
NJ
08/07/1998 - 12/16/2003
PRUCO SECURITIES CORPORATION (NEWARK NJ)
GA
06/27/1995 - 12/31/1997
WMA SECURITIES, INC. (DULUTH GA)
IN
03/13/1995 - 04/06/1995
MDS SECURITIES INCORPORATED (CARMEL IN)
NJ
05/27/1994 - 03/06/1995
C. J. M. PLANNING CORP. (POMPTON LAKES NJ)
OR
07/30/1993 - 05/04/1994
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
NJ
08/17/1992 - 08/03/1993
C. J. M. PLANNING CORP. (POMPTON LAKES NJ)
IA
Issued 12/01/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2008
Series 7 - General Securities Representative Examination
BC
Issued 08/14/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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