Sherman W. Wang
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.
Sherman William Wang, who also goes by Bill Wang, was a registered financial professional .
Sherman is a previously registered financial professional and started their career in finance in 1986. Sherman had worked at 9 firms and has passed the Series 65, Series 63, 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
November 9, 2012 - August 6, 2013
CLARK DODGE & CO., INC.
June 15, 2012 - January 6, 2014
CLARK DODGE & CO., INC.
December 22, 2008 - April 11, 2012
INVEST FINANCIAL CORPORATION
December 15, 2008 - April 11, 2012
INVEST FINANCIAL CORPORATION
July 2, 2004 - December 22, 2008
OSAIC WEALTH, INC.
September 19, 2002 - July 23, 2004
UBS FINANCIAL SERVICES INC.
November 28, 1997 - July 23, 2004
UBS FINANCIAL SERVICES INC.
May 25, 1995 - December 16, 1997
MORGAN STANLEY DW INC.
September 30, 1993 - June 13, 1995
LEHMAN BROTHERS INC.
September 10, 1992 - September 14, 1993
RAYMOND JAMES & ASSOCIATES, INC.
September 18, 1987 - December 23, 1991
UBS SECURITIES LLC
August 21, 1986 - September 4, 1987
FIRST INVESTMENT SECURITIES, 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
CLARK DODGE & CO., INC.
CRD#: 23288 / SEC#: , 8-40292
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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