Sherri R. Robinson
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.
Sherri Renee Robinson, who also goes by Sherri Renee Charles, Sherri Charles, Sherri R Thompson, Sherri Robinson Thompson, Sherri Thompson, was a registered financial professional .
Sherri is a previously registered financial professional and started their career in finance in 1994. Sherri had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - September 26, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 13, 2018 - January 5, 2022
NYLIFE SECURITIES LLC
June 7, 2016 - May 2, 2017
NYLIFE SECURITIES LLC
May 6, 2009 - October 9, 2014
FIFTH THIRD SECURITIES, INC.
May 6, 2009 - October 9, 2014
FIFTH THIRD SECURITIES, INC.
September 21, 2007 - April 14, 2009
CHASE INVESTMENT SERVICES CORP.
September 20, 2007 - April 14, 2009
CHASE INVESTMENT SERVICES CORP.
November 9, 2006 - July 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2006 - July 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2004 - September 11, 2006
CETERA INVESTMENT SERVICES LLC
September 30, 2003 - November 17, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 1996 - September 10, 2002
MORGAN STANLEY DW INC.
July 19, 1994 - November 18, 1996
EDWARD JONES
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
