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DS

Douglas R. Sherman

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CRD#: 1737009
DS

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.

Douglas Richard Sherman, who also goes by Douglas R Sherman, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1987. Douglas had worked at 9 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Douglas R Sherman

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 26, 2009 - November 23, 2009

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

May 5, 2006 - August 17, 2006

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

July 19, 2000 - August 26, 2004

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

May 20, 1997 - July 24, 2000

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

September 22, 1994 - May 19, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 31, 1993 - September 28, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 22, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 24, 1990 - June 2, 1992

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

January 30, 1990 - July 26, 1990

MONARCH FINANCIAL CORPORATION OF AMERICA

BD
CRD#: 23437
NEW YORK, NY
Past

September 9, 1989 - March 1, 1990

J. T. MORAN & CO., INC.

BD
CRD#: 15655
Past

February 16, 1989 - August 14, 1989

MONARCH FINANCIAL CORPORATION OF AMERICA

BD
CRD#: 23437
NEW YORK, NY
Past

December 22, 1987 - January 11, 1989

APPLE FINANCIAL CORPORATION

BD
CRD#: 10375

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/21/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1987
General Securities Representative Examination

Current Firm

GT
G-2 TRADING,LLC
G-2 TRADING,LLC | RBC PROFESSIONAL TRADING GROUP LLC | RBC PROFESSIONAL TRADER GROUP LLC | GENERIC TRADING OF PHILADELPHIA, LLC

CRD#: 44018 / SEC#: , 8-50510

BD
Terminated by SEC on 09/13/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/25/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
M STREET CAPITAL LLCMANAGING MEMBER
FINNEN, KENNETH ARTHURCCO1974997
FORTUNOFF, GREGORY BCEO2449593
LEIB, SHARON BETHCFO5799319

Disclosures

Regulatory Event7

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.

Company Information

G-2 TRADING,LLC

CRD#: 44018

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