Frederick L. Sherman
Professional summary
Frederick Laughton Sherman, who also goes by Frederick Sherman, Laughton Sherman, is a registered financial professional currently at SHERMAN & COMPANY LLC located in Charlotte, North Carolina.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 1993. Frederick has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederick Laughton Sherman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2011 - Present
SHERMAN & COMPANY LLC
Office #1: 6302 Fairview Road Suite 309, Charlotte, NC 28210Office #2: 1 Rockefeller Plaza, Suite 1020, New York, NY 10020June 18, 2001 - May 31, 2002
ANDERSEN CORPORATE FINANCE LLC
June 7, 1993 - September 15, 1998
CITICORP SECURITIES, 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
(8/12/2024)
(1/27/2014)
(6/25/2014)
(8/7/2014)
(1/8/2016)
(1/27/2014)
(4/11/2013)
(4/19/2016)
(1/20/2015)
(10/31/2022)
(6/23/2014)
(10/22/2025)
(4/23/2015)
(11/7/2022)
(7/22/2014)
(1/16/2015)
(10/31/2011)
(6/22/2011)
(7/22/2014)
(8/14/2014)
(8/16/2014)
(7/20/2021)
(4/9/2014)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
SHERMAN & COMPANY LLC
CRD#: 155575 / SEC#: , 8-68725
Contact information
FINRA licenses (23 States and Territories)
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.
