Sherry T. Bremer
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.
Sherry Tucker Bremer, who also goes by Sherry Tucker, was a registered financial professional .
Sherry is a previously registered financial professional and started their career in finance in 1983. Sherry had worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2020 - December 31, 2023
LPL FINANCIAL LLC
March 13, 2020 - December 31, 2023
LPL FINANCIAL LLC
November 25, 2015 - March 13, 2020
CETERA ADVISORS LLC
November 23, 2015 - March 13, 2020
CETERA ADVISORS LLC
April 20, 2015 - December 7, 2015
STONEBRIDGE FINANCIAL PLANNING GROUP, LLC
January 15, 2014 - November 24, 2015
TRIAD ADVISORS LLC
June 12, 2009 - January 22, 2014
SUMMIT FINANCIAL GROUP INC
October 21, 2008 - January 22, 2014
SUMMIT BROKERAGE SERVICES, INC.
August 14, 2007 - October 21, 2008
OSAIC SERVICES, INC.
March 22, 2007 - August 13, 2007
OSAIC FA, INC.
March 5, 2007 - August 13, 2007
OSAIC FA, INC.
May 26, 2005 - October 9, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 20, 2001 - October 9, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 5, 2000 - September 25, 2001
FISERV INVESTOR SERVICES, INC.
January 14, 1999 - December 5, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 31, 1996 - January 7, 1999
J.J.B. HILLIARD, W.L. LYONS, LLC
April 13, 1989 - May 24, 1996
ROBERT W. BAIRD & CO. INCORPORATED
February 24, 1988 - April 10, 1989
HAMILTON INVESTMENTS, INC.
November 20, 1984 - March 1, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 22, 1983 - August 29, 1984
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
