David E. Sherman
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.
David Errol Sherman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 8 firms and has passed the Series 65, Series 63, 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
January 24, 2011 - December 31, 2017
DHR ADVISORY SERVICES, LLC
November 24, 2010 - July 31, 2018
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
November 5, 2010 - November 30, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 16, 2005 - November 30, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 11, 2002 - October 4, 2005
ALLSTATE FINANCIAL SERVICES, LLC
November 15, 2001 - October 15, 2002
LPL FINANCIAL LLC
November 17, 2000 - November 16, 2001
PIPER SANDLER & CO.
June 22, 1998 - December 1, 2000
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
DHR ADVISORY SERVICES, LLC
CRD#: 154818 / SEC#:
Contact information
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.
