Todd H. 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.
Todd Hall Sherman was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1990. Todd had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - September 30, 2016
GROVE POINT INVESTMENTS, LLC
January 2, 2009 - September 30, 2016
GROVE POINT INVESTMENTS, LLC
November 8, 2002 - January 2, 2009
PACIFIC WEST FINANCIAL CONSULTANTS INC
July 30, 2002 - December 31, 2008
PACIFIC WEST SECURITIES, INC.
March 13, 2002 - July 31, 2002
OSAIC WEALTH, INC.
February 27, 1995 - March 13, 2002
PIM FINANCIAL SERVICES, INC.
January 26, 1995 - February 17, 1995
PIM FINANCIAL SERVICES, INC.
January 23, 1992 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
October 29, 1990 - October 23, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 29, 1990 - October 23, 1991
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
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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