Thomas A. Sherman

S3,

MINNEAPOLIS, MN 55416

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CRD#: 2666612

Professional summary

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

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Thomas has worked at 1 firm and has passed the Series 65 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Sherman | Tom 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas A 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 31, 2014 - Present

S3, INC

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

RIA

CRD#: 108401

MINNEAPOLIS, MN

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
(1/31/2014)

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: 9/20/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 2

Date: 9/19/1995

Non-Member General Securities 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).

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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.

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Thomas A. Sherman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas A Sherman's CRS (Customer Relationship Summary).

Certified licenses

Experience

S3, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/20/1995

Series 2

Date: 9/19/1995

Current Firm

S3, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

S3, INC

TRUST BUT VERIFY

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