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JS

Joseph C. Sherwood

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CRD#: 1327851
JS

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.

Joseph Charles Sherwood III, who also goes by Jay Sherwood, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Sherwood

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

November 3, 2011 - July 23, 2019

G.C. ANDERSEN PARTNERS CAPITAL, LLC

BD
CRD#: 44631
Palos Verdes Estates, CA
Past

January 3, 2007 - November 1, 2011

MCGLADREY CAPITAL MARKETS, LLC

BD
CRD#: 47639
COSTA MESA, CA
Past

November 30, 2004 - January 3, 2007

FTI CAPITAL ADVISORS, LLC

BD
CRD#: 123434
WASHINGTON, DC
Past

March 3, 1999 - March 4, 2003

THE SEIDLER COMPANIES INCORPORATED

BD
CRD#: 3911
LOS ANGELES, CA
Past

October 21, 1998 - February 24, 1999

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

May 28, 1996 - October 26, 1998

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

June 4, 1993 - March 11, 1996

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY
Past

September 4, 1990 - May 20, 1993

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 24, 1989 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

October 19, 1988 - July 27, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

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: 10/28/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/7/1997
General Securities Principal Examination

Current Firm

GA
G.C. ANDERSEN PARTNERS CAPITAL, LLC
ANDERSEN WEINROTH CAPITAL CORPORATION | G.C. ANDERSEN PARTNERS CAPITAL, LLC | G.C. ANDERSEN PARTNERS CAPITAL CORPORATION

CRD#: 44631 / SEC#: , 8-50776

BD
Cancelled by SEC on 06/09/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/31/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GC ANDERSEN PARTNERS, LLCOWNER
ANDERSEN, GEORGE CHRISTIANCEO, PRINCIPAL FINANCIAL OFFICER, AND PRINCIPAL OPERATIONS OFFICER4719
PATEL, SURAJ RAJESHCHIEF COMPLIANCE OFFICER5941761

Disclosures

Regulatory Event3

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.

Company Information

G.C. ANDERSEN PARTNERS CAPITAL, LLC

CRD#: 44631

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