Jarrod A. Sherman

STRATEGIC PLANNING GROUP

WELLESLEY, MA 02481

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CRD#: 2868422

Professional summary

Jarrod Andrew Sherman is a registered financial advisor currently at STRATEGIC PLANNING GROUP, INC. located in Wellesley, Massachusetts.

Jarrod is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Jarrod has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Jarrod Andrew Sherman's CRS (Customer Relationship Summary).

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

May 23, 2011 - Present

STRATEGIC PLANNING GROUP, INC.

Office #1: 57 River Street Suite 306, Wellesley, MA 02481

RIA

CRD#: 124855

WELLESLEY, MA

Past

June 13, 2002 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

WELLESLEY, MA

Past

October 30, 2000 - May 3, 2002

SICOR SECURITIES INC

CRD#: 16195

DAYTON, OH

Past

May 1, 1997 - September 26, 2000

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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".

STRATEGIC PLANNING GROUP, INC.

ROMAN RETIREMENT | STRATEGIC PLANNING GROUP, INC.

CRD#: 124855 / SEC#: 801-72178

RIA

Registered Investment Advisory firm - (7/15/2011 Approved)

Massachusetts

Registered Investment Advisory firm - (9/28/2011 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).

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

Florida
(2/15/2019)

IAR

Massachusetts
(5/23/2011)

IAR

New Hampshire
(1/7/2019)

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: 5/6/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/11/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/30/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/2007

General Securities Principal Examination

Current Firm

STRATEGIC PLANNING GROUP, INC.

ROMAN RETIREMENT | STRATEGIC PLANNING GROUP, INC.

CRD#: 124855 / SEC#: 801-72178

RIA

Registered Investment Advisory firm - (7/15/2011 Approved)

Massachusetts

Registered Investment Advisory firm - (9/28/2011 Terminated)

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Contact information

Main Address

57 River Street #306, Wellesley, MA 02481

Mailing Address

Phone number

(781) 444-9010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STRATEGIC PLANNING GROUP ADV PART2A_MARCH2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	769
AUM (Assets Under Management)	$ 198,918,365

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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Advisor Monitoring

Firm Stability Insights

Jarrod A. Sherman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jarrod Andrew Sherman's CRS (Customer Relationship Summary).

Certified licenses

Experience

QA3 FINANCIAL CORP.

SICOR SECURITIES INC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

STRATEGIC PLANNING GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/2011

Series 63

Date: 4/15/1997

Series 7

Date: 8/11/1998

Series 6

Date: 4/30/1997

Series 24

Date: 10/22/2007

Current Firm

STRATEGIC PLANNING GROUP, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGIC PLANNING GROUP, INC.

TRUST BUT VERIFY

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