Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven William Sherman is an investment advisor representative who is currently registered with Wells Fargo Clearing Services, LLC. Steven has been in the financial industry since April 3, 1984. He has been registered with Wells Fargo Clearing Services, LLC since January 2022. Previously, Steven was registered with Morgan Stanley from June 1, 2009, to December 3, 2021. Prior to that, Steven was registered with Citigroup Global Markets Inc. from August 24, 1987, to June 1, 2009. Steven has passed the Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Foreign Currency Options Examination, and the General Securities Representative Examination. Steven is registered in 23 states and is a member of the Financial Industry Regulatory Authority (FINRA).
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.
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.
Investment consulting services to institutional clients
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
CT
01/11/2022 - Present
Wells Fargo Clearing Services, LLC (WESTPORT CT)
CT
06/01/2009 - 12/03/2021
MORGAN STANLEY (WESTPORT CT)
NY
08/24/1987 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NA
02/26/1984 - 08/29/1987
THOMSON MCKINNON SECURITIES INC.
BC
Issued 02/29/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 02/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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