Douglas James Sherman
Professional Summary
Douglas James Sherman, who also goes by Douglas Sherman, is a registered financial advisor currently at ALTERNATIVE EXECUTION GROUP located in Bayonne, New Jersey. Douglas is registered as a RR (Registered Representative) and started their career in finance in 1995. Douglas has worked at 8 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 3 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Douglas Sherman
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
ALTERNATIVE EXECUTION GROUP | THREE BROTHERS TRADING, LLC
Contact Information
Main Address
111 W 41st Street, Bayonne, NJ 07002Mailing Address
90 Avenue B, Bayonne, NJ 07002Phone Number
(201) 412-3298Established
New York since 06/01/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/16/2024)
(5/16/2024)
(3/26/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Nov 1999SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Douglas James Sherman's CRS (Customer Relationship Summary).
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