Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Connie? Claim Your ProfileConnie Lea Sherrill is a financial advisor with over 18 years of experience in the financial services industry. Connie has been registered with RBC Capital Markets, LLC since February 2024. Prior to joining RBC Capital Markets, LLC, Connie worked for RBC DAIN RAUSCHER INC. from 2006 to 2006. Connie has also held positions at Capital Institutional Services, Inc., Fulcrum Global Partners LLC, and First Fund Distributors, Inc. Connie is a Series 7 and Series 66 licensed advisor and specializes in providing financial planning services, pension consulting, educational seminars, and selection of other advisors. Connie's areas of expertise include managing portfolios for individuals and businesses. Connie holds a combined state law license and has been actively registered with the state of Texas since 2024.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
TX
10/11/2024 - Present
RBC Capital Markets, LLC (DALLAS TX)
TX
04/26/2006 - 11/13/2006
RBC DAIN RAUSCHER INC. (DALLAS TX)
TX
03/02/2005 - 11/10/2005
CAPITAL INSTITUTIONAL SERVICES, INC. (DALLAS TX)
NY
01/29/2004 - 05/28/2004
FULCRUM GLOBAL PARTNERS LLC (NEW YORK NY)
TX
06/16/1997 - 02/04/2004
CAPITAL INSTITUTIONAL SERVICES, INC. (DALLAS TX)
AZ
06/20/1996 - 06/16/1997
FIRST FUND DISTRIBUTORS, INC. (PHOENIX AZ)
BOTH
Issued 09/14/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/07/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/01/2024
Series 7TO - General Securities Representative Examination
BC
Issued 05/13/2024
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/19/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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