Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen D. Sherman is a financial professional with over 11 years of experience in the securities industry. Stephen is currently registered with Imperial Capital, LLC, and holds several licenses and certifications including Series 7, Series 55, Series 57TO and SIE. Stephen has been active in the industry since September 2011 and has extensive experience in providing investment advice to clients.
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.
1
2
CA
09/15/2011 - Present
Imperial Capital, LLC (LOS ANGELES CA)
BC
Issued 09/30/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/14/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Stephen Sherman is the right advisor for you? Invested Better is here to help.
