Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard L. Sherman is a Financial and Operations Principal at Pershing LLC. Richard has over 15 years of experience in the financial services industry, having previously worked for ConvergEx Execution Solutions LLC and G-Trade Services LLC. Richard has a strong understanding of the operations of the financial services industry, as evidenced by his Series 27, Series 99TO, and SIE licenses.
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.
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.
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2
NJ
03/17/2016 - Present
Pershing LLC (JERSEY CITY NJ)
NY
05/17/2007 - 03/24/2016
CONVERGEX EXECUTION SOLUTIONS LLC (NEW YORK NY)
NY
07/25/2014 - 04/01/2015
G-TRADE SERVICES LLC (NEW YORK NY)
BC
Issued 05/16/2007
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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