Sherman E. Thurston
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.
Sherman Ellis Thurston III, who also goes by Sherman Ellis Thurston, Sherman Ellis (iii) Thurston, was a registered financial professional .
Sherman is a previously registered financial professional and started their career in finance in 1988. Sherman had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 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
September 10, 2015 - May 7, 2018
AVANTAX ADVISORY SERVICES
September 10, 2015 - May 7, 2018
AVANTAX INVESTMENT SERVICES, INC.
May 29, 2013 - May 27, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 29, 2013 - May 27, 2014
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2011 - February 12, 2013
MML INVESTORS SERVICES, LLC
November 4, 2011 - February 12, 2013
MML INVESTORS SERVICES, LLC
June 25, 1993 - May 31, 1994
FIRST MONTAUK SECURITIES CORP.
February 2, 1990 - April 7, 1992
GUARDIAN INVESTOR SERVICES LLC
June 30, 1988 - February 14, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 30, 1988 - February 14, 1990
PRUCO SECURITIES, LLC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 |
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.
