Michael L. Sherman
Professional summary
Michael Lewis Sherman, who also goes by Michael L Sherman, is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Lewis Sherman's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 11, 2015 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017November 1, 2010 - November 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
August 23, 2004 - February 9, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 1993 - February 9, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/11/2015)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
