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Sherman Merle Swanson

Siebert Williams Shank & CO., LLC

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About Sherman Merle Swanson

Sherman Merle Swanson is a securities professional with over 35 years of experience in the financial services industry. Sherman has held various roles at several firms, including Muriel Siebert & Co., Inc., Grigsby, Brandford & Co., Inc., and Everen Securities, Inc., before joining Siebert Williams Shank & Co., LLC in 1997. Sherman is registered with FINRA and holds Series 7, Series 52TO, Series 53, and Series 63 licenses.

Firm Information

Sherman Swanson is currently registered with Siebert Williams Shank & CO., LLC. Siebert Williams Shank & CO., LLC is a Limited Liability Company that was formed in March 1997. The firm is registered in all 50 states and with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Sherman Swanson’s Registration & Firm History

TX

08/04/1997 - Present

Siebert Williams Shank & CO., LLC (DALLAS TX)

NY

04/15/1998 - 12/09/2004

MURIEL SIEBERT & CO., INC. (NEW YORK NY)

NY

10/17/1996 - 08/04/1997

MURIEL SIEBERT & CO., INC. (NEW YORK NY)

CA

09/09/1993 - 10/23/1996

GRIGSBY, BRANDFORD & CO., INC. (SAN FRANCISCO CA)

MO

07/31/1991 - 07/23/1993

EVEREN SECURITIES, INC. (ST. LOUIS MO)

NY

02/26/1990 - 07/01/1991

GRUNTAL & CO. INCORPORATED (NEW YORK NY)

NJ

11/01/1989 - 06/22/1990

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NA

03/22/1984 - 07/08/1986

E. F. HUTTON & COMPANY INC

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Licenses & Designations

BC

Issued 05/12/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/28/1998

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/17/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Sherman Merle Swanson. Review regulatory record here.
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