Douglas 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.
Douglas Andrew Sherman was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2009. Douglas had worked at 4 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
August 28, 2017 - May 2, 2018
SRT SECURITIES LLC
October 2, 2013 - August 31, 2017
WALLACHBETH CAPITAL LLC
January 15, 2013 - October 2, 2013
SRT SECURITIES LLC
August 4, 2010 - January 15, 2013
KOTA GLOBAL SECURITIES INC.
December 11, 2009 - April 5, 2010
WESTROCK ADVISORS, 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
SRT SECURITIES LLC
CRD#: 33725 / SEC#: , 8-34415
Contact information
FINRA licenses (25 States and Territories)
Documents
Disclosures
| Regulatory Event | 24 |
Red Flags
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