Barnet 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.
Barnet Sherman was a registered financial professional .
Barnet is a previously registered financial professional and started their career in finance in 1984. Barnet had worked at 8 firms and has passed the Series 65, 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
October 27, 2010 - April 20, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
February 9, 2009 - August 2, 2010
BRAINTREE CAPITAL PARTNERS, LLC
January 12, 1995 - June 10, 2008
INVESCO CAPITAL MARKETS, INC.
December 13, 1994 - January 12, 1995
AMERICAN CAPITAL MARKETING, INC.
February 2, 1990 - March 3, 1994
COLONIAL INVESTMENT SERVICES
May 12, 1989 - February 2, 1990
COLONIAL INVESTMENT SERVICES, INC.
September 21, 1984 - May 10, 1989
CITIGROUP GLOBAL MARKETS INC.
May 24, 1984 - September 18, 1984
PRUDENTIAL EQUITY GROUP, 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
TEACHERS PERSONAL INVESTORS SERVICES, INC.
CRD#: 36130 / SEC#: , 8-47051
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIAA-CREF ASSET MANAGEMENT LLC | SHAREHOLDER | |
| LEE, CHRISTY ROSS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4926666 |
| LEE, CHRISTY ROSS | CHIEF FINANCIAL OFFICER | 4926666 |
| PIERRE-MERRITT, MARJORIE | CORPORATE SECRETARY | 5308970 |
| RAUSCHENBACH, KEITH HENRY | PRESIDENT, COO & DIRECTOR | 1719526 |
| SMITH, SHANITA SPIVEY | CHIEF COMPLIANCE OFFICER | 5174146 |
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.
