Barry A. 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.
Barry Alan Sherman was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1984. Barry had worked at 13 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 5, 2015 - August 23, 2022
SANTANDER INVESTMENT SECURITIES INC.
August 16, 2012 - December 16, 2014
CIBC WORLD MARKETS CORP.
February 22, 2012 - June 19, 2012
FHN FINANCIAL SECURITIES CORP.
February 14, 2005 - February 3, 2012
BNP PARIBAS SECURITIES CORP.
July 30, 2004 - March 1, 2005
KEYBANC CAPITAL MARKETS INC.
September 23, 1998 - July 1, 2004
BARCLAYS CAPITAL INC.
January 25, 1994 - June 17, 1998
UBS SECURITIES LLC
June 28, 1991 - January 25, 1994
JPMSI
March 22, 1991 - June 14, 1991
SANWA UNIVERSAL SECURITIES CO., LLC
July 18, 1990 - June 14, 1991
SANWA SECURITIES (USA) CO., L.P.
July 25, 1987 - March 13, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
April 15, 1985 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
December 28, 1984 - May 10, 1985
HSBC BROKERAGE (USA) 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
SANTANDER INVESTMENT SECURITIES INC.
CRD#: 37216 / SEC#: 801-70715, 8-47664
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
Disclosures
| Regulatory Event | 10 |
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.
