Peter 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.
Peter Mark Sherman was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1996. Peter had worked at 4 firms and has passed the Series 63, SIE, 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
June 6, 2016 - February 10, 2017
CDX ADVISORS
July 16, 2010 - August 6, 2013
ERNST & YOUNG CAPITAL ADVISORS, LLC
April 20, 2001 - May 26, 2010
BANC OF AMERICA SECURITIES LLC
December 23, 1999 - May 12, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 18, 1996 - May 7, 1999
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CDX ADVISORS
CRD#: 171500 / SEC#: , 8-69465
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
