Thomas J. Scherer
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.
Thomas James Scherer, who also goes by Tom Scherer, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2009 - December 31, 2023
COLEMAN SCHERER INVESTMENTS, INC.
October 2, 2007 - December 31, 2008
1ST DISCOUNT BROKERAGE, INC.
November 2, 2006 - December 31, 2008
1ST DISCOUNT BROKERAGE, INC.
December 19, 2005 - April 20, 2006
EQUITABLE ADVISORS, LLC
June 1, 2005 - April 20, 2006
EQUITABLE ADVISORS, LLC
April 20, 2004 - June 1, 2005
MONY SECURITIES CORPORATION
May 6, 2003 - December 31, 2003
WATERSTONE FINANCIAL GROUP, INC.
December 2, 2002 - December 31, 2003
WATERSTONE FINANCIAL GROUP, INC.
September 20, 2000 - November 18, 2002
WALNUT STREET ADVISERS INC
May 15, 2000 - November 18, 2002
WALNUT STREET SECURITIES, INC.
May 1, 1987 - May 2, 2000
PRUCO SECURITIES, LLC.
March 25, 1982 - May 25, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 25, 1982 - May 25, 1984
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COLEMAN SCHERER INVESTMENTS, INC.
CRD#: 149350 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 1,697,305 |
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.
