Rex Sherry
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.
Rex Sherry was a registered financial professional .
Rex is a previously registered financial professional and started their career in finance in 1990. Rex had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2015 - February 5, 2016
MORGAN JOSEPH TRIARTISAN LLC
January 8, 2013 - January 2, 2015
BRIDGE CAPITAL ASSOCIATES, INC.
August 19, 2010 - July 21, 2011
RAYMOND JAMES & ASSOCIATES, INC.
August 5, 2008 - August 23, 2010
AGC PARTNERS
October 10, 2006 - June 19, 2008
J.P. MORGAN SECURITIES LLC
January 9, 2002 - August 26, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 2000 - June 27, 2000
BANC OF AMERICA SECURITIES LLC
January 29, 1999 - February 1, 1999
UBS SECURITIES LLC
October 1, 1997 - January 21, 1999
BANC OF AMERICA SECURITIES LLC
June 28, 1990 - October 1, 1997
MONTGOMERY SECURITIES
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
MORGAN JOSEPH TRIARTISAN LLC
CRD#: 10948 / SEC#: , 8-27971
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRIARTISAN HOLDINGS INC. | SOLE SHAREHOLDER | |
| BLECHER, STEVEN DONALD | VICE CHAIRMAN OF THE BOARD, SECRETARY, TREASURER, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, ROSFP | 1230668 |
| FULVIO, GENNARO JOHN | CHIEF FINANCIAL OFFICER; FINOP | 2435828 |
| SORTE, JOHN FOLLETT | CEO, EXECUTIVE CHAIRMAN, DIRECTOR, AND GENERAL SECURITIES PRINCIPAL | 1042672 |
Disclosures
| Regulatory Event | 2 |
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.
