SO
Sherman P. Ober
CETERA INVESTMENT ADVISERS LLC
SALEM, OR 97302
Some features on this profile are disabled
CRD#: 1683236
SO
Professional summary
Sherman Phillip Ober is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Salem, Oregon and CETERA ADVISORS LLC located in Salem, Oregon.
Sherman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Sherman has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2016 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, ANNUITIES, AND LONG TERM CARE 2.NAME OF OTHER BUSINESS: GREAT OAK FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: 864 PROMONTORY PL SE SALEM OR 97302 NATURE OF BUSINESS: FINANCIAL INVESTMENT ADIVCE, INSURANCE, FINANCIAL PLANNING START DATE: 12/2016 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR BRIEF DESCRIPTION OF DUTIES: WORKING WITH CLIENTS PROVIDING FINANCIAL PLANNING, ADVICE, AND RECOMMENDATIONS 3.NAME OF OTHER BUSINESS: SHERMAN OBER INC. INVESTMENT RELATED: NO ADDRESS: LLC FOR PAYROLL AND GENERAL BOOKKEEPING NATURE OF BUSINESS: OWNER START DATE: 12/2014 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: GENERAL BOOKKEEPING; 4. NAME OF OTHER BUSINESS: SALEMTOWNE CIVIC ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 2900 OAKCREST DR NW, SALEM OR, 97304; NATURE OF BUSINESS: BOARD; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER HOME OWNERS ASSOCIATION;
CRS (Client Relationship Summary) - RIA
Click below to view Sherman Phillip Ober's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3468 Liberty Rd S, Salem, OR 97302RIA
CRD#: 105644
SALEM, OR
Current
November 21, 2016 - Present
CETERA ADVISORS LLC
Office #1: 3468 Liberty Rd S, Salem, OR 97302BD
CRD#: 10299
Salem, OR
Past
November 23, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
May 30, 2013 - November 23, 2016
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
SALEM, OR
Past
April 22, 2008 - November 23, 2016
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SALEM, OR
Past
June 24, 2005 - April 28, 2008
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SALEM, OR
Past
May 25, 2005 - April 28, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SALEM, OR
Past
April 29, 2003 - December 31, 2003
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SALEM, OR
Past
April 28, 2003 - June 2, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 28, 2003 - June 2, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
December 28, 1993 - May 29, 2003
VERAVEST INVESTMENT ADVISORS, INC.
RIA
CRD#: 105796
LAKE OSWEGO, OR
Past
October 18, 1993 - May 13, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
June 3, 1987 - October 20, 1993
CENTURY INVESTORS OF AMERICA, INC.
BD
CRD#: 5322
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/10/2018)
RR
California(11/21/2016)
RR
Colorado(7/20/2022)
RR
Idaho(11/21/2016)
RR
Michigan(8/18/2022)
RR
Oregon(11/23/2016)
IAR
Oregon(3/21/2024)
RR
Tennessee(5/4/2021)
RR
Washington(9/27/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 11/21/1994
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
