Roger M. 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.
Roger Mackenzie Sherman, who also goes by Roger Mackensie Sherman, Roger Sherman, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1988. Roger had worked at 4 firms and has passed the Series 63, Series 2 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 1997 - April 30, 2009
NEWPORT COAST SECURITIES, INC.
January 22, 1996 - June 25, 2015
SHERMAN- DOUGLAS, BROKERS OF INSURANCE, INC.
October 20, 1993 - February 9, 1995
JOHN HANCOCK DISTRIBUTORS LLC
July 28, 1988 - November 2, 1990
TITAN/VALUE EQUITIES GROUP, 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
Series 2
Date: 8/17/1995
Non-Member General Securities ExaminationCurrent Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
