SS
Steven J. Sherwood
CWS INVESTMENTS
Newport Beach, CA 92660
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CRD#: 1901510
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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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
OWNER/OFFICER & ADVISORY BOARD MEMBER, CWS CAPITAL PARTNERS LLC (CWSCP)(CORPORATE UMBRELLA), CWS CORPORATE HOUSING LLC, AND CWS APARTMENT HOMES (CWSAH) PROPERTY MGT FIRM. GP OF NUMEROUS RE LIMITED PARTNERSHIPS AFFILIATED WITH CWSCP OR CWSAH. ACTIVITIES INCLUDE PROPERTY ACQUISITION & GENERAL MGMT.
EACH OF THE FOREGOING MIGHT BE DEEMED INVESTMENT RELATED AND IS LOCATED AT 14 CORPORATE PLAZA DR. #210, NEWPORT BEACH, CA 92660. MAJORITY OF TIME DEVOTED TO PARTNERSHIPS; MAY DEVOTE TIME TO ANY ONE OR MORE OF ABOVE ENTITIES ON A DAILY BASIS AS NEEDED. OWNER - GELATO PARADISO - FOOD SERVICES / CUISINE NON INVESTMENT RELATED APPROXIMATELY 1 HOUR PER MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Steven Jay Sherwood's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 30, 2013 - Present
CWS INVESTMENTS
Office #1: 14 Corporate Plaza Drive Suite 210, Newport Beach, CA 92660Office #2: 14 Corporate Plaza Ste. 210, Newport Beach, CA 92660Office #3: 9606 N. Mopac Expy Suite 500, Austin, TX 78759RIA
BD
CRD#: 23551
Newport Beach, CA
Current
February 20, 2015 - Present
CWS CAPITAL PARTNERS LLC
Office #1: 14 Corporate Plaza Ste. 210, Newport Beach, CA 92660RIA
CRD#: 166871
Newport Beach, CA
Current
June 12, 1989 - Present
CWS INVESTMENTS
Office #1: 14 Corporate Plaza Drive Suite 210, Newport Beach, CA 92660Office #2: 14 Corporate Plaza, Suite 210, Newport Beach, CA 92660Office #3: 9606 N. Mopac Expy Suite 500, Austin, TX 78759RIA
BD
CRD#: 23551
Newport Beach, CA
Past
August 5, 2003 - December 31, 2003
CWS MANAGEMENT LLC
RIA
CRD#: 119320
NEWPORT BEACH, CA
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".
CC
CWS CAPITAL PARTNERS LLC
CWS CAPITAL PARTNERS LLC | CWS CAPITAL PARTNERS, LLC
CRD#: 166871 / SEC#: 801-107474
RIA
Registered Investment Advisory firm - (4/5/2016 Approved)California
Registered Investment Advisory firm - (5/21/2016 Terminated)Illinois
Registered Investment Advisory firm - (4/5/2016 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/30/1989)
IAR
California(8/30/2013)
RR
Texas(3/19/2010)
IAR
Texas(1/12/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CC
CWS CAPITAL PARTNERS LLC
CWS CAPITAL PARTNERS LLC | CWS CAPITAL PARTNERS, LLC
CRD#: 166871 / SEC#: 801-107474
RIA
Registered Investment Advisory firm - (4/5/2016 Approved)California
Registered Investment Advisory firm - (5/21/2016 Terminated)Illinois
Registered Investment Advisory firm - (4/5/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14 Corporate Plaza Ste. 210, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 466-0020
Established
Firm type
Fiscal year end
# of Employees
49
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 293,170,929 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
