Peter M. 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.
Peter Moffit Sherman, who also goes by Peter M Sherman, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1989. Peter had worked at 2 firms and has passed the Series 63 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
May 14, 1991 - January 4, 2021
PENN MUTUAL ASSET MANAGEMENT, LLC
August 4, 1989 - September 10, 2003
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
PENN MUTUAL ASSET MANAGEMENT, LLC
CRD#: 107518 / SEC#: 801-35477
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
PENN MUTUAL ASSET MANAGEMENT, LLC
CRD#: 107518 / SEC#: 801-35477
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 40 |
| AUM (Assets Under Management) | $ 39,106,375,391 |
Red Flags
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