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Sheri M. Cuff

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CRD#: 1477228
SC

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.

Sheri Mingus Cuff, AIF®, who also goes by Sheri Ann Cuff, Sheri Ann Mingus, was a registered financial professional .

Sheri is a previously registered financial professional and started their career in finance in 1992. Sheri had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Sheri Ann Cuff | Sheri Ann Mingus

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®
AIF®

Experience


Past

April 18, 2017 - December 31, 2017

DELTA SECURITIES COMPANY, LLC

BD
CRD#: 130577
MAITLAND, FL
Past

April 12, 2017 - July 16, 2021

SIGNATURE ESTATE SECURITIES, LLC

BD
CRD#: 18923
LOS ANGELES, CA
Past

April 30, 2014 - January 13, 2015

IAA FINANCIAL LLC

BD
CRD#: 6578
WEST PALM BEACH, FL
Past

July 16, 2008 - January 12, 2009

FIVE X SECURITIES, LLC

BD
CRD#: 8193
OAKTON, VA
Past

March 22, 1999 - December 31, 2001

STONEX FINANCIAL INC.

BD
CRD#: 45993
WINTER PARK, FL
Past

February 19, 1992 - December 31, 2016

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL

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: 10/10/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam

Current Firm


DS
DELTA SECURITIES COMPANY, LLC
DELTA SECURITIES COMPANY, LLC | MAITLAND SECURITIES, INC.

CRD#: 130577 / SEC#: , 8-66364

BD
Terminated by SEC on 03/19/2022
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Contact information


Main Address
Mailing Address
Phone number
Established
Florida since 08/12/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
DELTA FINANCIAL HOLDINGS COMPANY, LLCOWNER
JOHNSON, MEGAN REBECCACCO6911479
SAVALLO, LAWRENCE JAMESFINOP1195178

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


DELTA SECURITIES COMPANY, LLC

CRD#: 130577

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