Arnold 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.
Arnold Sherman was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1985. Arnold had worked at 8 firms and has passed the 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
January 17, 2002 - October 9, 2017
VANDERBILT SECURITIES, LLC
August 8, 1994 - December 31, 2001
OPPENHEIMER & CO. INC.
December 18, 1992 - August 8, 1994
REICH & CO., INC.
May 20, 1991 - September 12, 1991
CAPITAL BROKERAGE CORPORATION
March 19, 1990 - May 29, 1991
REICH & CO., INC.
October 6, 1989 - March 24, 1990
HYM FINANCIAL, INC.
November 3, 1988 - October 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 18, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
April 1, 1985 - October 24, 1988
DAVID LERNER ASSOCIATES, 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
Exams
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| 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.
