Bryan L. 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.
Bryan Lee Sherman, who also goes by Bryan Lee Gunn, Bryan Thomas Gunn, was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1992. Bryan had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 55 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2011 - April 3, 2012
AEGIS INVESTMENTS, INC.
February 16, 1999 - May 14, 2002
SCHONFELD SECURITIES, LLC
August 9, 1993 - August 15, 1994
HAMILTON INVESTMENTS, INC.
August 27, 1992 - August 19, 1993
CHATFIELD DEAN & CO., INC.
January 22, 1992 - July 7, 1992
HAYNE, MILLER FINANCIAL, 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 55
Date: 4/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
AEGIS INVESTMENTS, INC.
CRD#: 16033 / SEC#: , 8-33137
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
