Steven Jay Sherwood
Professional Summary
Steven Jay Sherwood is a registered financial advisor currently at CWS INVESTMENTS located in Newport Beach, California and CWS CAPITAL PARTNERS LLC located in Newport Beach, California. Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Steven has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
CWS CAPITAL PARTNERS LLC | CWS CAPITAL PARTNERS, LLC
Contact Information
Main Address
14 Corporate Plaza Ste. 210, Newport Beach, CA 92660Phone Number
(800) 466-0020# of Employees
52SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
28AUM (Assets Under Management)
$268,387,708Similar Advisors
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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.
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Primary Firm SEC Registration
CWS CAPITAL PARTNERS LLC | CWS CAPITAL PARTNERS, LLC
State Registrations and Notice Filings
(6/30/1989)
(8/30/2013)
(3/19/2010)
(1/12/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Jan 1989About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Feb 1989About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Steven Jay Sherwood's CRS (Customer Relationship Summary).
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