Brian Sherman

MISSIONSQUARE RETIREMENT

BLOOMFIELD, NJ

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CRD#: 2255564

Professional summary

Brian Sherman, CFP® is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Bloomfield, New Jersey and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)Brian Sherman~81 East Almira Street~Bloomfield~NJ~07003~Accounting Services/Tax Preparation~Owner~12/6/2018~20hrs~15hrs~Prepare taxes by taking in tax related information and then preparing and filing clients tax return. For bookkeeping this means providing client with a bookkeeping system that I maintain or they manage on their own. 2)Brian Sherman~81 East Almira Street~Bloomfield~NJ~07003~Rental Property~Owner~6/1/2003~1hrs~0hrs~I repair things if broken or hire somebody. Client gives me rent monthly.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Sherman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

March 24, 2025 - Present

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

BLOOMFIELD, NJ

Current

March 24, 2025 - Present

MISSIONSQUARE INVESTMENT SERVICES

Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240

CRD#: 23189

Washington, DC

Past

March 1, 2018 - March 7, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Bloomfield, NJ

Past

February 21, 2018 - March 7, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Bloomfield, NJ

Past

February 2, 2017 - March 15, 2018

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

Long Island City, NY

Past

January 26, 2017 - March 15, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Long Island City, NY

Past

February 3, 2016 - February 3, 2017

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Bloomfield, NJ

Past

January 29, 2016 - February 3, 2017

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Bloomfield, NJ

Past

November 21, 2014 - February 3, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TEANECK, NJ

Past

November 21, 2014 - February 3, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TEANECK, NJ

Past

December 5, 2008 - November 3, 2014

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

JERSEY CITY, NJ

Past

April 16, 2008 - November 3, 2014

EQUITABLE ADVISORS, LLC

CRD#: 6627

JERSEY CITY, NJ

Past

August 27, 2007 - February 29, 2008

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

MONTCLAIR, NJ

Past

March 9, 2005 - November 29, 2006

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

July 7, 2004 - October 13, 2004

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 7, 2004 - October 13, 2004

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 8, 2004 - July 8, 2004

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

August 7, 1998 - December 16, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 27, 1995 - December 31, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

March 13, 1995 - April 6, 1995

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

May 27, 1994 - March 6, 1995

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

July 30, 1993 - May 4, 1994

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

August 17, 1992 - August 3, 1993

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(3/24/2025)

IAR

New Jersey
(3/24/2025)

New York
(3/24/2025)

IAR

New York
(3/24/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/1/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/14/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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Contact information

Main Address

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Brian Sherman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Sherman's CRS (Customer Relationship Summary).

Certified licenses

Experience

MISSIONSQUARE INVESTMENT SERVICES

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

AVANTAX INVESTMENT SERVICES, INC.

WORLD GROUP SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

C. J. M. PLANNING CORP.

PRUCO SECURITIES, LLC.

WMA SECURITIES, INC.

CONSECO SECURITIES, INC.

C. J. M. PLANNING CORP.

MARKETING ONE SECURITIES, INC.

C. J. M. PLANNING CORP.

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2008

Series 63

Date: 10/30/1993

SIE

Date: 10/1/2018

Series 7

Date: 9/18/2008

Series 6

Date: 8/14/1992

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

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