Thomas E. Sherman

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CRD#: 1839767

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.

Thomas Edward Sherman was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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) 8/25/2020- Colonial River Wealth Management LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- Midlothian, VA- start date 25/2019- 100% 2) 8/25/2020- Tom Sherman - part time /Umpire- Non Inv. Related -Fredericksburg VA- start date 4/1/2003- 40hrs/mth 3) 3/3/2021 - Colonial River Wealth Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/02/2020 - 40 Hours Per Month/1 Hour During Securities Trading - I provide investment advisory services through Colonial River Wealth Management LLC, an independent investment advisor firm. I started this business activity in 11/2020. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 3/3/2021 - Colonial River Wealth Management LLC - DBA: (Hybrid) Lions Bridge Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/02/2020 - 40 Hours Per Month During Securities Trading. 5) 3/17/2021 - Lions Bridge Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 7/20/2020 - 40 Hours Per Month/1 Hour During Securities Trading.

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

December 22, 2020 - September 1, 2023

COLONIAL RIVER WEALTH MANAGEMENT LLC

RIA

CRD#: 284839

MIDLOTHIAN, VA

Past

August 31, 2020 - November 9, 2023

LPL FINANCIAL LLC

CRD#: 6413

NEWPORT NEWS, VA

Past

July 26, 2005 - July 3, 2008

MML INVESTORS SERVICES, LLC

CRD#: 10409

FREDERICKSBURG, VA

Past

October 1, 2002 - July 1, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

May 17, 1999 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

April 30, 1998 - July 16, 1999

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

December 1, 1997 - February 25, 1998

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

March 29, 1989 - December 1, 1997

FORTH FINANCIAL SECURITIES, CORPORATION

CRD#: 14363

RICHMOND, VA

Past

June 3, 1988 - March 8, 1989

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

COLONIAL RIVER WEALTH MANAGEMENT LLC

CRD#: 284839 / SEC#: 801-113243

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Virginia

Registered Investment Advisory firm - (8/29/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/23/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/7/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 8/31/2020

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 2/4/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/1/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COLONIAL RIVER WEALTH MANAGEMENT LLC

CRD#: 284839 / SEC#: 801-113243

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Virginia

Registered Investment Advisory firm - (8/29/2018 Terminated)

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Contact information

Main Address

340 Browns Hill Court, Midlothian, VA 23114

Mailing Address

Phone number

(804) 335-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COLONIAL RIVER DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (4/24/2025)

Regulatory assets under management

Total Number of Accounts	1,524
AUM (Assets Under Management)	$ 339,836,345

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas E. Sherman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL EQUITY SERVICES CORPORATION

UNITED SECURITIES ALLIANCE, INC.

CAPITAL BROKERAGE CORPORATION

FORTH FINANCIAL SECURITIES, CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

COLONIAL RIVER WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/2020

Series 63

Date: 10/7/2020

Series 6TO

Date: 8/31/2020

SIE

Date: 2/4/2020

Series 6

Date: 6/1/1988

Current Firm

COLONIAL RIVER WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLONIAL RIVER WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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