Michael L. 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.
Michael Lawrence Sherman, who also goes by Michael L Sherman, Michael Laurence Sherman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 19 firms and has passed the Series 63 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
October 24, 2007 - May 15, 2009
AURA FINANCIAL SERVICES, INC.
August 9, 2007 - November 16, 2007
NATIONAL SECURITIES CORPORATION
May 3, 2005 - July 18, 2007
BROOKSTREET SECURITIES CORPORATION
October 28, 2002 - May 21, 2004
BROOKSTREET SECURITIES CORPORATION
July 30, 2002 - October 10, 2002
FIRST MONTAUK SECURITIES CORP.
January 2, 2002 - July 2, 2002
LADENBURG CAPITAL MANAGEMENT INC.
July 21, 2000 - January 2, 2002
LADENBURG THALMANN & CO. INC.
March 25, 1999 - July 31, 2000
TRADE.COM ONLINE SECURITIES, INC.
August 4, 1994 - March 17, 1999
GRUNTAL & CO., L.L.C.
May 10, 1993 - July 21, 1994
ADVEST, INC.
September 19, 1991 - April 15, 1993
PRUDENTIAL EQUITY GROUP, LLC
May 15, 1990 - August 30, 1990
LEHMAN BROTHERS INC.
May 25, 1989 - May 7, 1990
CITIGROUP GLOBAL MARKETS INC.
May 8, 1989 - July 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 14, 1989 - April 3, 1989
ALISON, BAER SECURITIES INC.
February 3, 1989 - February 21, 1989
J. W. GANT & ASSOCIATES, INC.
August 16, 1988 - February 7, 1989
ALLIED CAPITAL GROUP, INC.
January 27, 1988 - September 7, 1988
GRAYSTONE NASH, INC.
October 7, 1987 - October 30, 1987
THE STUART-JAMES COMPANY, INCORPORATED
October 7, 1987 - February 8, 1988
J. B. HANAUER & 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
Current Firm
AURA FINANCIAL SERVICES, INC.
CRD#: 42822 / SEC#: , 8-50020
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GAUTNEY, TIMOTHY MICHAEL | PRESIDENT | 2552149 |
| GAUTNEY, TIMOTHY MICHAEL | SECRETARY | 2552149 |
| COOPER, SHAUN MICHAEL | DIRECTOR OF OPERATIONS | 4254365 |
| COOPER, SHAUN MICHAEL | SROP | 4254365 |
| KING, LOYD GILFORD | TREASURER | 2892687 |
| WOODRUFF, JOHN WESLEY JR | CROP | 2625285 |
| WOODRUFF, JOHN WESLEY JR | CHIEF COMPLIANCE OFFICER | 2625285 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 5 |
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.
