David A. 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.
David Albert Sherman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2000 - April 6, 2020
AEGIS INVESTMENTS, INC.
May 2, 1990 - February 18, 2000
WOODBURY FINANCIAL SERVICES, INC.
December 10, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
December 10, 1987 - May 10, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 10, 1987 - May 10, 1990
OSAIC FA, INC.
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
AEGIS INVESTMENTS, INC.
CRD#: 16033 / SEC#: , 8-33137
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
