Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Terry? Claim Your ProfileTerry Alan Sherman is a financial advisor with RBC Capital Markets, LLC, in Austin, Texas. Terry has been in the financial industry since 1986, and has a strong background in investments and financial planning. Terry is a Certified Financial Planner (CFP) and a Chartered Financial Analyst (CFA). Terry has a wide range of experience working with individuals, corporations, and institutions. Terry holds Series 3, 5, 7, 15 and SIE licenses. Terry has experience working with clients in a variety of financial situations, including retirement planning, college savings, investment management, and estate planning. In addition to being a financial advisor, Terry is also an active member of the community, and is involved in a number of charitable organizations.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
TX
02/24/2014 - Present
RBC Capital Markets, LLC (AUSTIN TX)
TX
06/01/2009 - 02/21/2014
MORGAN STANLEY (AUSTIN TX)
TX
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (AUSTIN TX)
NY
01/22/1986 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 10/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/30/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1986
Series 15 - Foreign Currency Options Examination
BC
Issued 10/03/1986
Series 5 - Interest Rate Options Examination
BC
Issued 03/03/1986
Series 3 - National Commodity Futures Examination
BC
Issued 01/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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