Daniel W. Sherwin
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.
Daniel Whipp Sherwin was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22, Series 6, Series 51 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
July 12, 2010 - August 1, 2012
ADVANTAGE INVESTMENT MANAGEMENT, LLC
March 10, 2006 - March 31, 2011
EFS FINANCIAL RESOURCES, LLC
August 1, 2000 - October 31, 2014
NATIONAL PLANNING CORPORATION
April 4, 1994 - August 10, 2000
CETERA WEALTH SERVICES, LLC
February 17, 1994 - April 11, 1994
GUARDIAN INVESTOR SERVICES LLC
January 6, 1994 - February 21, 1994
CETERA WEALTH SERVICES, LLC
January 3, 1994 - January 6, 1994
CETERA WEALTH SERVICES, LLC
March 23, 1990 - December 31, 1993
OPPENHEIMER & CO. INC.
February 17, 1987 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
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 62
Date: 10/20/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
ADVANTAGE INVESTMENT MANAGEMENT, LLC
CRD#: 146236 / SEC#: 801-69551
Contact information
Red Flags
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