NS
Norman R. Sherman
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CRD#: 2583040
NS
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.
Norman Ralph Sherman, who also goes by Norm Sherman, Norman Sherman, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1995. Norman had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 14, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Norm Sherman | Norman 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 29, 2009 - April 19, 2024
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
SPRINGFIELD, IL
Past
January 24, 2008 - January 8, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
MINNEAPOLIS, MN
Past
December 7, 2006 - February 5, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
MINNEAPOLIS, MN
Past
June 25, 2002 - December 31, 2006
TCF INVESTMENTS, INC.
BD
CRD#: 34954
MINNEAPOLIS, MN
Past
October 15, 2001 - May 15, 2002
STOCKWALK.COM, INC.
BD
CRD#: 40692
MINNEAPOLIS, MN
Past
August 24, 2001 - May 14, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
BD
CRD#: 694
MINNEAPOLIS, MN
Past
April 15, 1996 - August 29, 2001
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
March 21, 1995 - April 11, 1996
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HM
HORACE MANN INVESTORS, INC.
AARON RARICK AGENCY EAST | SEEDMIN FINANCIAL SERVICES, INC. | SECURE INSURANCE AGENCY | SEAN STEPHENS AGENCY | SEAN O'BRIEN AGENCY | SCHOOL EMPLOYEES INSURANCE AND FINANCIAL SOLUTIONS | SCHOOL EMPLOYEES INSURANCE & FINANCIAL SERVICES, LLC | SANKEY INSURANCE AND FINANCIAL SERVICES, INC. | SANKEY INSURANCE AND FINANCIAL SERVICES SOUTHEAST, INC. | RYAN HOFER AGENCY | ROPER INSURANCE & FINANCIAL SERVICES | RON BAUER INSURANCE AGENCY | REITER INSURANCE, LLC | REITER INSURANCE RESOURCES, LLC | POTTS FINANCIAL SERVICES INC | PEE DEE EDUCATORS INSURANCE AGENCY, TOO | PEE DEE EDUCATORS INSURANCE AGENCY, III | PEE DEE EDUCATORS INSURANCE AGENCY | PAUL KRAKLAN AGENCY LLC | ORR INSURANCE & FINANCIAL SERVICES INC | OLD TOWN INSURANCE AND FINANCIAL SERVICES | NUCKLES FINANCIAL | NEXT GENERATION FINANCIAL AND INSURANCE SOLUTIONS, INC. | MORGAN INSURANCE & FINANCIAL SERVICES | MITCHELL CHATFIELD AGENCY | MILL COLEMAN II AGENCY, LLC | MIDLANDS EDUCATOR'S INSURANCE, INC. | MCDOWELL INSURANCE & FINANCIAL SERVICES, INC. | MATTHEW JODINO AGENCY | MARK G ANDERSON INSURANCE AGENCY, INC. | MANASOTA ELITE EDUCATORS INSURANCE, LLC | MAIN LINE FINANCIAL SOLUTIONS | M&L INSURANCE & FINANCIAL SERVICES | LISA BUSSIERE, LLC. | LERMAN INSURANCE AND FINANCIAL SERVICES, INC. | LEON STURK LLC | LARROW INSURANCE LLC | LARROW INSURANCE AND FINANCIAL STRATEGIES | LARROW INSURANCE & FINANCIAL STRATEGIES, LLC EAST | LANGFORD INSURANCE & FINANCIAL SERVICES | LADY INSURANCE AND FINANCIAL SERVICES, LLC | KEVIN MCCARTHY AGENCY | KEITH BROOKS AGENCY | K SCHEIDING AGENCY | JOSHUA TREE INSURANCE AND FINANCIAL SERVICES, LLC | JIM NICOLOW AGENCY | JASON L. ROHRER AGENCY | JACKSON FINANCIAL, LLC | HUNT INSURANCE AGENCY, LLC | HORACE MANN INVESTORS, INC. | HORACE MANN INVESTORS INC | HELIX INSURANCE AND FINANCIAL SERVICES, LLC | HAGEMAN FAMILY INSURANCE | GULF COAST EDUCATORS INSURANCE | GULF COAST EDUCATORS III | GSP AGENCY | GRETCHEN REHM AGENCY, INC. | GRETCHEN REHM AGENCY | GOLDEN APPLE INSURANCE AND FINANCIAL SERVICES | GOLD STAR RETIREMENT AND INSURANCE | GEORGE C. PRY INSURANCE & FINANCIAL SERVICES INC. WEST | GEORGE C PRY INSURANCE AND FINANCIAL SERVICES, INC. | GEORGE C PRY INSURANCE AND FINANCIAL SERVICES, INC WEST | GCE WEALTH MANAGEMENT | GAC WEALTH MANAGEMENT SOULTIONS | FURLONG FINANCIAL, INC. | FROST INSURANCE | FRANCES MARION EDUCATORS INSURANCE AGENCY, LLC | FOOTHILLS FINANCIAL & INSURANCE SERVICES | FLORIDA EDUCATORS INSURANCE, LLC | FLORIDA EDUCATORS INSURANCE WEST COAST, INC. | FLORIDA EDUCATORS INSURANCE OF PINELLAS COUNTY | FLORIDA EDUCATOR INSURANCE EAST | FLORES-CHATFIELD AGENCY AND CHATFIELD, INC | FIRST EDUCATIONAL INSURANCE AND FINANCIAL SERVICES | FIRST CHOICE INSURANCE & FINANCIAL SERVICES | FINANCIAL SOLUTIONS FOR EDUCATORS | FINANCIAL FRAMEWORK, LLC | ESP FINANCIAL STRATEGIES | EDUCATOR'S CHOICE INSURANCE AGENCY, LLC | EDUCATOR INSURANCE SERVICES | EDUCATOR FOCUSED FINANCIAL SOLUTIONS & INSURANCE | EDUCATOR FOCUSED FINANCIAL SERVICES | EDUCATOR FINANCIAL SOLUTIONS, INC. | EDUCATOR FINANCIAL SERVICES, LLC | EDUCATOR BENEFITS INSURANCE SERVICES, INC. | EDUCATED FIRST SOLUTIONS | EDDIE SAMPLE FINANCIAL SERVICES AGENCY II | EDDIE SAMPLE FINANCIAL SERVICES AGENCY | DELORES MCCANN AGENCY | DELISLE INSURANCE & RETIREMENT, LLC | DELEON & ASSOCIATES FINANCIAL & INSURANCE SOLUTIONS | DAVIS AND WALLMAN FINANCIAL, LLC | DAVID STANLEY & ASSOCIATES, LLC | DAVID PECK AGENCY | CROKER & ASSOCIATES, LLC | CORNERSTONE EDUCATORS INSURANCE | COLEMAN FINANCIAL & INSURANCE SERVICES | CITRUS VALLEY INSURANCE | CHRIS GADDIS AGENCY | CHRIS BURNES AGENCY | CHIP LUM AGENCY | CHERRY CREEK EDUCATORS, INC. | CASTELLANO INSURANCE AND FINANCIAL SERVICES INC | CAPITAL INSURANCE SERVICES, INC. | CAPITAL CITY INSURANCE | BUCKEYE EDUCATOR INSURANCE, LLC | BRANDON MCGUIRE AGENCY | BOB TILLER AGENCY | BILL HARIG AGENCY | BICKETT INSURANCE AGENCY | ASTRAIOS FINANCIAL - EAST, LLC | ASTRAIOS FINANCIAL | ASHELY TURNER AGENCY | ARA FINANCIAL | APPLETREE BENEFITS | APPLE ED INSURANCE & FINANCIAL SERVICES | ALLISON ZECH AGENCY | ALAN MINGLEDORFF AGENCY | ADAMS INSURANCE | AARON RARICK AGENCY SOUTHEAST...
CRD#: 11643 / SEC#: 801-80964, 8-6082
RIA
Registered Investment Advisory firm - SEC (2/23/2015 Approved)Florida
Registered Investment Advisory firm - SEC (10/21/2009 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/29/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (10/26/2009 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/26/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/30/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/18/2009 Terminated)Tennessee
Registered Investment Advisory firm - SEC (11/20/2009 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/18/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HM
HORACE MANN INVESTORS, INC.
AARON RARICK AGENCY EAST | SEEDMIN FINANCIAL SERVICES, INC. | SECURE INSURANCE AGENCY | SEAN STEPHENS AGENCY | SEAN O'BRIEN AGENCY | SCHOOL EMPLOYEES INSURANCE AND FINANCIAL SOLUTIONS | SCHOOL EMPLOYEES INSURANCE & FINANCIAL SERVICES, LLC | SANKEY INSURANCE AND FINANCIAL SERVICES, INC. | SANKEY INSURANCE AND FINANCIAL SERVICES SOUTHEAST, INC. | RYAN HOFER AGENCY | ROPER INSURANCE & FINANCIAL SERVICES | RON BAUER INSURANCE AGENCY | REITER INSURANCE, LLC | REITER INSURANCE RESOURCES, LLC | POTTS FINANCIAL SERVICES INC | PEE DEE EDUCATORS INSURANCE AGENCY, TOO | PEE DEE EDUCATORS INSURANCE AGENCY, III | PEE DEE EDUCATORS INSURANCE AGENCY | PAUL KRAKLAN AGENCY LLC | ORR INSURANCE & FINANCIAL SERVICES INC | OLD TOWN INSURANCE AND FINANCIAL SERVICES | NUCKLES FINANCIAL | NEXT GENERATION FINANCIAL AND INSURANCE SOLUTIONS, INC. | MORGAN INSURANCE & FINANCIAL SERVICES | MITCHELL CHATFIELD AGENCY | MILL COLEMAN II AGENCY, LLC | MIDLANDS EDUCATOR'S INSURANCE, INC. | MCDOWELL INSURANCE & FINANCIAL SERVICES, INC. | MATTHEW JODINO AGENCY | MARK G ANDERSON INSURANCE AGENCY, INC. | MANASOTA ELITE EDUCATORS INSURANCE, LLC | MAIN LINE FINANCIAL SOLUTIONS | M&L INSURANCE & FINANCIAL SERVICES | LISA BUSSIERE, LLC. | LERMAN INSURANCE AND FINANCIAL SERVICES, INC. | LEON STURK LLC | LARROW INSURANCE LLC | LARROW INSURANCE AND FINANCIAL STRATEGIES | LARROW INSURANCE & FINANCIAL STRATEGIES, LLC EAST | LANGFORD INSURANCE & FINANCIAL SERVICES | LADY INSURANCE AND FINANCIAL SERVICES, LLC | KEVIN MCCARTHY AGENCY | KEITH BROOKS AGENCY | K SCHEIDING AGENCY | JOSHUA TREE INSURANCE AND FINANCIAL SERVICES, LLC | JIM NICOLOW AGENCY | JASON L. ROHRER AGENCY | JACKSON FINANCIAL, LLC | HUNT INSURANCE AGENCY, LLC | HORACE MANN INVESTORS, INC. | HORACE MANN INVESTORS INC | HELIX INSURANCE AND FINANCIAL SERVICES, LLC | HAGEMAN FAMILY INSURANCE | GULF COAST EDUCATORS INSURANCE | GULF COAST EDUCATORS III | GSP AGENCY | GRETCHEN REHM AGENCY, INC. | GRETCHEN REHM AGENCY | GOLDEN APPLE INSURANCE AND FINANCIAL SERVICES | GOLD STAR RETIREMENT AND INSURANCE | GEORGE C. PRY INSURANCE & FINANCIAL SERVICES INC. WEST | GEORGE C PRY INSURANCE AND FINANCIAL SERVICES, INC. | GEORGE C PRY INSURANCE AND FINANCIAL SERVICES, INC WEST | GCE WEALTH MANAGEMENT | GAC WEALTH MANAGEMENT SOULTIONS | FURLONG FINANCIAL, INC. | FROST INSURANCE | FRANCES MARION EDUCATORS INSURANCE AGENCY, LLC | FOOTHILLS FINANCIAL & INSURANCE SERVICES | FLORIDA EDUCATORS INSURANCE, LLC | FLORIDA EDUCATORS INSURANCE WEST COAST, INC. | FLORIDA EDUCATORS INSURANCE OF PINELLAS COUNTY | FLORIDA EDUCATOR INSURANCE EAST | FLORES-CHATFIELD AGENCY AND CHATFIELD, INC | FIRST EDUCATIONAL INSURANCE AND FINANCIAL SERVICES | FIRST CHOICE INSURANCE & FINANCIAL SERVICES | FINANCIAL SOLUTIONS FOR EDUCATORS | FINANCIAL FRAMEWORK, LLC | ESP FINANCIAL STRATEGIES | EDUCATOR'S CHOICE INSURANCE AGENCY, LLC | EDUCATOR INSURANCE SERVICES | EDUCATOR FOCUSED FINANCIAL SOLUTIONS & INSURANCE | EDUCATOR FOCUSED FINANCIAL SERVICES | EDUCATOR FINANCIAL SOLUTIONS, INC. | EDUCATOR FINANCIAL SERVICES, LLC | EDUCATOR BENEFITS INSURANCE SERVICES, INC. | EDUCATED FIRST SOLUTIONS | EDDIE SAMPLE FINANCIAL SERVICES AGENCY II | EDDIE SAMPLE FINANCIAL SERVICES AGENCY | DELORES MCCANN AGENCY | DELISLE INSURANCE & RETIREMENT, LLC | DELEON & ASSOCIATES FINANCIAL & INSURANCE SOLUTIONS | DAVIS AND WALLMAN FINANCIAL, LLC | DAVID STANLEY & ASSOCIATES, LLC | DAVID PECK AGENCY | CROKER & ASSOCIATES, LLC | CORNERSTONE EDUCATORS INSURANCE | COLEMAN FINANCIAL & INSURANCE SERVICES | CITRUS VALLEY INSURANCE | CHRIS GADDIS AGENCY | CHRIS BURNES AGENCY | CHIP LUM AGENCY | CHERRY CREEK EDUCATORS, INC. | CASTELLANO INSURANCE AND FINANCIAL SERVICES INC | CAPITAL INSURANCE SERVICES, INC. | CAPITAL CITY INSURANCE | BUCKEYE EDUCATOR INSURANCE, LLC | BRANDON MCGUIRE AGENCY | BOB TILLER AGENCY | BILL HARIG AGENCY | BICKETT INSURANCE AGENCY | ASTRAIOS FINANCIAL - EAST, LLC | ASTRAIOS FINANCIAL | ASHELY TURNER AGENCY | ARA FINANCIAL | APPLETREE BENEFITS | APPLE ED INSURANCE & FINANCIAL SERVICES | ALLISON ZECH AGENCY | ALAN MINGLEDORFF AGENCY | ADAMS INSURANCE | AARON RARICK AGENCY SOUTHEAST...
CRD#: 11643 / SEC#: 801-80964, 8-6082
RIA
Registered Investment Advisory firm - SEC (2/23/2015 Approved)Florida
Registered Investment Advisory firm - SEC (10/21/2009 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/29/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (10/26/2009 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/26/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/30/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/18/2009 Terminated)Tennessee
Registered Investment Advisory firm - SEC (11/20/2009 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
One Horace Mann Plaza, Springfield, IL 62715-0001
Mailing Address
One Horace Mann Plaza, Springfield, IL 62715-0001
Phone number
(217) 789-2500
Established
Maryland since 05/21/1957
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
74
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORACE MANN EDUCATORS CORPORATION (PUBLICLY HELD COMPANY) | CORPORATION - PARENT COMPANY | |
| GARLATTI, JEFFREY | NATIONAL SALES MANAGER | 5670941 |
| GAYLE, TROY MARSHALL | TREASURER | 5925156 |
| MICHAEL, LINEA KATE | SECRETARY | 5791549 |
| TAYLOR, HOLLEY WATSON | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4171040 |
| TSAI, PHYLLIS | FINOP, PFO, POO | 7200380 |
Disclosures
| Regulatory Event | 6 |
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.
