Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Jay Sherman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. Steven has been in the financial services industry since 1985. Steven is registered in 37 states and holds Series 3, 7, and 63 securities licenses, as well as a Series 65 investment advisor license. Steven specializes in providing financial advice to individuals and businesses. Steven also offers portfolio management services for individuals, businesses, and investment companies. Steven's experience and expertise make him a valuable resource for clients seeking financial guidance.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
03/17/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PONTE VEDRA BEACH FL)
NY
12/01/1988 - 11/06/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
08/20/1986 - 12/08/1988
THE ROBINSON-HUMPHREY COMPANY INC.
NA
09/24/1985 - 08/29/1986
CAPITAL ANALYSTS, INCORPORATED
IA
Issued 07/12/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/1986
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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