Sherry D. Deke
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.
Sherry Delaney Deke, CFP®, CIMA®, who also goes by Sherry V Delaney, Sherry VIrginia Delaney, Sherry V Peterson, Sherry Virginia Peterson, Sherry Virginia Samuels, was a registered financial professional .
Sherry is a previously registered financial professional and started their career in finance in 1993. Sherry had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2026 - June 17, 2026
CHARLES SCHWAB & CO., INC.
February 6, 2015 - March 28, 2022
NEW MARKET WEALTH MANAGEMENT, LLC
August 19, 2009 - January 18, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 30, 2009 - August 5, 2009
NRP FINANCIAL, INC.
April 20, 2009 - April 21, 2009
NRP ADVISORS, INC.
October 24, 2006 - July 24, 2007
PENNIALL & ASSOCIATES, INC.
December 12, 2005 - January 24, 2006
OSAIC SERVICES, INC.
October 31, 2005 - June 5, 2007
OSAIC SERVICES, INC.
July 26, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
September 7, 2000 - June 21, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 7, 2000 - May 25, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 15, 1994 - July 10, 1997
PRINCIPAL SECURITIES, INC.
June 24, 1993 - June 17, 1994
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
