Mark D. Sherman

S3,

MINNEAPOLIS, MN 55416

Some features on this profile are disabled

CRD#: 2553823

Professional summary

Mark Douglas Sherman, who also goes by Mark Sherman, is a registered financial advisor currently at S3, INC located in Minneapolis, Minnesota.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Mark has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Sherman

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.

VIPADVISOR.COM, NOT INVESTMENT RELATED,3033 EXCELSIOR BLVD #460, MPLS, MN 55416, COMPUTER SOFTWARE, 100% OWNER & CEO, 07-21-00,2 HOURS PER MONTH DURING NON TRADING HOURS, DEVLOPMENT MANAGER CHARITYBOX.COM, NOT INVESTMENT RELATED, 3033 EXCELSIOR BLVD #460, MPLS, MN 55416, COMPUTER SOFTWARE, 100% OWNER & CEO, 9-28-99, 2 HOURS PER MONTH DURING NON TRADING HOURS, DEVELOPMENT MANAGER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Douglas Sherman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 30, 2014 - Present

S3, INC

Office #1: 5402 Parkdale Drive Suite 100, Minneapolis, MN 55416

RIA

CRD#: 108401

MINNEAPOLIS, MN

Past

March 2, 1998 - January 18, 2000

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

May 4, 1995 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

March 15, 1995 - April 12, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(1/30/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/1/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/25/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/14/1995

General Securities Representative Examination

Current Firm

S3, INC

S3 INC | S3, INC

CRD#: 108401 / SEC#: 801-57681

RIA

Registered Investment Advisory firm - (3/31/2008 Terminated)

Minnesota

Registered Investment Advisory firm - (3/31/2008 Approved)

New Jersey

Registered Investment Advisory firm - (11/30/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5402 Parkdale Drive Suite 100, Minneapolis, MN 55416

Mailing Address

Phone number

(612) 929-7000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	180
AUM (Assets Under Management)	$ 75,456,873

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.

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST. LOUIS PARK, MN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark D. Sherman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Douglas Sherman's CRS (Customer Relationship Summary).

Certified licenses

Experience

S3, INC

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/1996

Series 63

Date: 5/25/1995

Series 7

Date: 3/14/1995

Current Firm

S3, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

S3, INC

TRUST BUT VERIFY

Similar Advisors