Sherman T. Felix
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.
Sherman Thomas Felix was a registered financial professional .
Sherman is a previously registered financial professional and started their career in finance in 1999. Sherman had worked at 25 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2019 - September 14, 2022
SW FINANCIAL
October 24, 2017 - December 10, 2019
WORDEN CAPITAL MANAGEMENT LLC
April 26, 2017 - June 12, 2017
RICHARD JAMES & ASSOCIATES, INC.
January 20, 2017 - March 22, 2017
ARIVE CAPITAL MARKETS
August 18, 2016 - August 22, 2016
COVA CAPITAL PARTNERS LLC
August 4, 2015 - May 11, 2016
NEWPORT COAST SECURITIES, INC.
January 28, 2014 - June 23, 2015
JOSEPH STONE CAPITAL L.L.C.
September 5, 2013 - January 15, 2014
NATIONAL SECURITIES CORPORATION
March 25, 2013 - August 9, 2013
SPARTAN CAPITAL SECURITIES, LLC
January 13, 2012 - August 2, 2012
ROCKWELL GLOBAL CAPITAL LLC
September 26, 2011 - January 12, 2012
WOODSTOCK FINANCIAL GROUP, INC.
March 17, 2009 - September 1, 2011
BROOKSTONE SECURITIES, INC.
December 8, 2008 - March 16, 2009
PRESTIGE FINANCIAL CENTER, INC.
October 20, 2008 - October 27, 2008
REID & RUDIGER LLC
September 23, 2008 - October 9, 2008
WOODSTOCK FINANCIAL GROUP, INC.
May 2, 2008 - September 25, 2008
J.P. TURNER & COMPANY, L.L.C.
September 27, 2004 - March 25, 2008
COMMERCE ONE FINANCIAL INC.
June 28, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
May 27, 2004 - June 30, 2004
EKN FINANCIAL SERVICES INC.
April 30, 2004 - June 1, 2004
LH ROSS & COMPANY, INC.
December 21, 2001 - April 2, 2002
EKN FINANCIAL SERVICES INC.
November 27, 2001 - April 27, 2004
HARRISON SECURITIES, INC.
November 14, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
July 13, 2001 - July 23, 2001
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
March 28, 2001 - July 16, 2001
TRIDENT PARTNERS LTD.
January 17, 2001 - March 12, 2001
CONTINENTAL BROKER-DEALER CORP.
June 8, 2000 - November 13, 2000
MILLENNIUM SECURITIES CORP.
December 10, 1999 - July 12, 2000
TASIN & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
