Daniel A. Sherwood
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.
Daniel Adam Sherwood was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2003 - June 28, 2004
TRILLIUM BROKERAGE SERVICES, LLC
February 29, 2000 - June 3, 2003
HEARTLAND SECURITIES CORP.
July 29, 1999 - February 17, 2000
LIGHTSPEED PROFESSIONAL TRADING LLC
January 6, 1999 - August 3, 1999
LANDMARK SECURITIES CORPORATION
April 21, 1998 - June 12, 1998
HEARTLAND SECURITIES CORP.
February 28, 1997 - April 21, 1998
ICAPITAL MARKETS LLC
April 5, 1995 - April 9, 1996
ICAPITAL MARKETS LLC
January 3, 1995 - March 2, 1995
COMMONWEALTH FINANCIAL NETWORK
May 26, 1994 - January 18, 1995
R.K. GRACE & COMPANY
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: 3/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
TRILLIUM BROKERAGE SERVICES, LLC
CRD#: 120064 / SEC#: , 8-65247
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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