Sherman R. Ross
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.
Sherman Russell Ross, who also goes by Russ Ross, was a registered financial professional .
Sherman is a previously registered financial professional and started their career in finance in 1983. Sherman had worked at 9 firms and has passed the Series 63, Series 6TO, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2021 - May 4, 2021
LEVEL FOUR FINANCIAL, LLC
June 21, 2019 - June 22, 2020
DOMINION INVESTOR SERVICES, INC.
March 27, 2000 - February 22, 2002
ALLSTATE FINANCIAL SERVICES, LLC
November 18, 1997 - May 19, 1998
METROPOLITAN LIFE INSURANCE COMPANY
November 12, 1997 - May 19, 1998
MSI FINANCIAL SERVICES, INC.
May 26, 1995 - March 21, 1996
SUNAMERICA SECURITIES, INC.
April 30, 1991 - July 19, 1994
METROPOLITAN LIFE INSURANCE COMPANY
January 28, 1991 - July 19, 1994
METROPOLITAN LIFE INSURANCE COMPANY
January 28, 1991 - July 19, 1994
MSI FINANCIAL SERVICES, INC.
July 28, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 28, 1988 - January 2, 1991
MONY SECURITIES CORPORATION
November 8, 1983 - July 15, 1988
NYLIFE SECURITIES 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
Series 6TO
Date: 6/21/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LEVEL FOUR FINANCIAL, LLC
CRD#: 25700 / SEC#: 801-65811, 8-41965
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
