Mervin A. Sherman
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.
Mervin Allen Sherman was a registered financial professional .
Mervin is a previously registered financial professional and started their career in finance in 1983. Mervin had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2008 - June 8, 2015
SECUREVEST FINANCIAL GROUP
March 24, 2003 - March 18, 2008
R. SEELAUS & CO., LLC
March 7, 2003 - March 21, 2003
RBC CAPITAL MARKETS, LLC
March 13, 1989 - March 7, 2003
FIRST INSTITUTIONAL SECURITIES, L.L.C.
February 1, 1989 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
May 20, 1985 - February 1, 1989
GLICKENHAUS & CO. - NEW JERSEY
March 22, 1983 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
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
SECUREVEST FINANCIAL GROUP
CRD#: 10100 / SEC#: , 8-26030
Contact information
Disclosures
| Regulatory Event | 4 |
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.
