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DS

David L. Sherman

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CRD#: 1303348
DS

Professional summary

David Lee Sherman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, David had worked at 2 firms, which includes RICHARD B. VANCE & COMPANY, PRUCO SECURITIES LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 16, 1998 - August 30, 2000

RICHARD B. VANCE & COMPANY

BD
CRD#: 3656
JOLIET, IL
Past

September 26, 1984 - June 24, 1998

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/31/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 9/25/1984
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RB
RICHARD B. VANCE & COMPANY
HARRIS & ASSOCIATES | VANCE & CO. | RICHARD B. VANCE & COMPANY | LUCIUS FINANCIAL CO. | HURCKES FINANCIAL STRATEGIES

CRD#: 3656 / SEC#: , 8-2997

BD
Terminated by SEC on 02/19/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 11/07/1936
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ILLINOIS MUTUAL LIFE & CASUALTY CO.OWNER
CISLAGHI, JOHN RICHARDVICE PRESIDENT47104
MADSEN, JOHN DAVIDFINOP2887299
PEDERSEN, ROBERT FREDERICKVP/ASST. SECRETARY2217521
SCHMIDT, MARY BETHVP/COMPLIANCE/SALES/BOM/SROP/CROP1362867
VIDICAN, RICHARD EUGENEPRESIDENT1055958

Disclosures

Regulatory Event2

Red Flags

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Company Information

RICHARD B. VANCE & COMPANY

CRD#: 3656

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