Gary A. Cherlin
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.
Gary Alan Cherlin was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1989. Gary had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2021 - July 20, 2022
SOVEREIGN GLOBAL ADVISORS LLC
January 30, 2020 - October 26, 2021
PHX FINANCIAL, INC.
August 2, 2007 - October 19, 2011
FIRST MIDWEST SECURITIES, INC.
August 1, 2007 - October 19, 2011
FIRST MIDWEST SECURITIES, INC.
August 7, 2006 - August 6, 2007
GUNNALLEN FINANCIAL, INC
September 5, 2002 - August 6, 2007
GUNNALLEN FINANCIAL, INC
October 29, 1999 - July 29, 2002
HAPOALIM SECURITIES USA, INC.
March 7, 1996 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
March 18, 1994 - March 4, 1996
UBS FINANCIAL SERVICES INC.
September 19, 1989 - March 25, 1994
LEHMAN BROTHERS INC.
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
Series 7TO
Date: 1/30/2020
General Securities Representative ExaminationCurrent Firm
SOVEREIGN GLOBAL ADVISORS LLC
CRD#: 167663 / SEC#: , 8-69274
Contact information
FINRA licenses (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 3,583,152 |
Red Flags
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