Frank 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.
Frank Anthony Sherman was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1988. Frank had worked at 17 firms and has passed the Series 63, 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
February 22, 1996 - June 14, 1996
PACIFIC CORTEZ SECURITIES INCORPORATED
February 7, 1995 - October 31, 1995
TAJ GLOBAL EQUITIES, INC.
October 4, 1994 - February 8, 1995
INTERNATIONAL SECURITIES GROUP, INC.
June 22, 1994 - August 13, 1994
SAMCO FINANCIAL SERVICES, INC.
April 8, 1994 - June 27, 1994
WESTFIELD FINANCIAL CORPORATION
August 23, 1993 - December 1, 1993
TAJ GLOBAL EQUITIES, INC.
April 28, 1993 - August 19, 1993
BARRON CHASE SECURITIES, INC.
February 1, 1993 - April 30, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
September 11, 1992 - January 20, 1993
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
May 14, 1992 - September 10, 1992
FIRST ASSET MANAGEMENT, INC.
March 31, 1992 - May 19, 1992
BARRON CHASE SECURITIES, INC.
June 5, 1990 - April 1, 1992
KOBER FINANCIAL CORP.
February 7, 1990 - May 11, 1990
WELLSHIRE SECURITIES, INC.
October 10, 1989 - March 30, 1990
ANDREW ALEN SECURITIES, INC.
June 21, 1989 - November 8, 1989
PRINCETON FINANCIAL GROUP, INC.
March 9, 1989 - July 12, 1989
MARSHALL DAVIS, INC.
February 16, 1989 - April 10, 1989
ALISON, BAER SECURITIES INC.
February 2, 1989 - February 28, 1989
POWER SECURITIES CORPORATION
November 9, 1988 - March 27, 1989
KOBER FINANCIAL CORP.
September 9, 1988 - October 7, 1988
F.D. ROBERTS SECURITIES, 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
PACIFIC CORTEZ SECURITIES INCORPORATED
CRD#: 24341 / SEC#: , 8-38514
Contact information
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.
