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SH

Sheryl M. Hempel

Some features on this profile are disabled
CRD#: 1010102
SH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sheryl Marie Hempel, who also goes by Sheryl M Hempel, was a registered financial professional .

Sheryl is a previously registered financial professional and started their career in finance in 1981. Sheryl had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 5 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sheryl M Hempel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 3, 2017 - April 19, 2017

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

September 20, 2006 - December 31, 2016

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BD
CRD#: 36130
NEW YORK, NY
Past

March 11, 2005 - December 7, 2005

LEVCO SECURITIES, INC.

BD
CRD#: 41585
NEW YORK, NY
Past

November 10, 2004 - January 18, 2005

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

BD
CRD#: 15654
NEW YORK, NY
Past

March 11, 1997 - August 22, 2000

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

May 1, 1996 - June 27, 1996

SUMMIT FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 7246
BETHLEHEM, PA
Past

February 16, 1995 - May 1, 1996

UJB DISCOUNT BROKERAGE CO.

BD
CRD#: 11537
Past

December 12, 1991 - March 2, 1993

UJB DISCOUNT BROKERAGE CO.

BD
CRD#: 11537
Past

May 29, 1990 - December 18, 1990

UNION TRUST BROKERAGE SERVICES, INC.

BD
CRD#: 25875
Past

October 3, 1988 - December 11, 1989

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
OLD GREENWICH, CT
Past

August 22, 1988 - October 3, 1988

DOMIK CORP.

BD
CRD#: 223
Past

May 11, 1984 - July 22, 1987

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

October 15, 1981 - May 7, 1984

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/18/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/19/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 11/18/1981
Interest Rate Options Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/10/2008
General Securities Principal Examination

Current Firm

NUVEEN SECURITIES, LLC
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NUVEEN INVESTMENTS, INC.MANAGING MEMBER
CARLIN, JEFFREY DENNISCHIEF EXECUTIVE OFFICER2684780
MANGANO, JENNIFER LYNNCHIEF FINANCIAL OFFICER7659359
SATRE, LUCAS ARTHURGENERAL COUNSEL2208099
SMITH, SHANITA SPIVEYCHIEF COMPLIANCE OFFICER5174146

Disclosures

Regulatory Event7
Civil Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NUVEEN SECURITIES, LLC

NUVEEN SECURITIES, LLC

CRD#: 469

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