Charles K. Sherburne

ZACKS INVESTMENT MANAGEMENT

CHICAGO, IL 60606

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CRD#: 2909063

Professional summary

Charles Kenneth Sherburne, who also goes by Chuck Sherburne, is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Chicago, Illinois and LBMZ SECURITIES, INC. located in Chicago, Illinois.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chuck Sherburne

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 Charles Kenneth Sherburne'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 18, 2017 - Present

ZACKS INVESTMENT MANAGEMENT, INC.

Office #1: 101 N. Wacker Drive Suite 1500, Chicago, IL 60606

RIA

CRD#: 110897

CHICAGO, IL

Current

October 16, 2018 - Present

LBMZ SECURITIES, INC.

Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606

CRD#: 7874

CHICAGO, IL

Past

March 12, 2013 - January 6, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BURR RIDGE, IL

Past

March 12, 2013 - January 6, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BURR RIDGE, IL

Past

October 23, 2009 - October 6, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OAK BROOK, IL

Past

October 23, 2009 - October 6, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OAK BROOK, IL

Past

October 24, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

NAPERVILLE, IL

Past

October 24, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NAPERVILLE, IL

Past

June 21, 2006 - October 24, 2008

LASALLE FINANCIAL SERVICES, INC.

RIA

CRD#: 20373

CHICAGO, IL

Past

June 21, 2006 - October 24, 2008

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

April 5, 2002 - April 12, 2006

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICGAO, IL

Past

November 18, 1999 - April 11, 2006

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

March 9, 1998 - October 18, 1999

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

July 7, 1997 - January 28, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Illinois
(5/18/2017)

Illinois
(10/16/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/8/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/7/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/3/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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

Charles K. Sherburne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Kenneth Sherburne's CRS (Customer Relationship Summary).

Certified licenses

Experience

LBMZ SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

BOFA DISTRIBUTORS, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2001

Series 63

Date: 7/9/1997

SIE

Date: 1/6/2017

Series 7

Date: 1/7/2000

Series 6

Date: 7/3/1997

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

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