Sherman M. Swanson
Professional summary
Sherman Merle Swanson JR, who also goes by Sherman Jr Merle Swanson, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.
Sherman is registered as a RR (Registered Representative) and started their career in finance in 1984. Sherman has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sherman Merle Swanson JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 4, 1997 - Present
SIEBERT WILLIAMS SHANK & CO., LLC
Office #1: 100 Wall Street 18th Floor, New York, NY 10005Office #3: Dominion Plaza 17304 Preston Road, Suite 800, Dallas, TX 75252April 15, 1998 - December 9, 2004
MURIEL SIEBERT & CO., LLC
October 17, 1996 - August 4, 1997
MURIEL SIEBERT & CO., LLC
September 9, 1993 - October 23, 1996
GRIGSBY & ASSOCIATES, INC.
July 31, 1991 - July 23, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 26, 1990 - July 1, 1991
GRUNTAL & CO., L.L.C.
November 1, 1989 - June 22, 1990
UBS FINANCIAL SERVICES INC.
March 22, 1984 - July 8, 1986
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/23/1998)
(8/21/2006)
(3/13/2006)
(9/7/2006)
(6/20/2006)
(7/25/2008)
(2/12/2014)
(2/3/2009)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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