Christopher G. 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.
Christopher Graham Sherman, who also goes by Chris Sherman, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2000. Christopher had worked at 7 firms and has passed the Series 63, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2009 - March 3, 2014
VARIABLE INVESTMENT ASSOCIATES, INC.
October 31, 2007 - December 11, 2007
WHITE PACIFIC SECURITIES, INC.
June 29, 2005 - November 14, 2005
WELLS FARGO SECURITIES, LLC
September 8, 2003 - July 11, 2005
LASALLE FINANCIAL SERVICES, INC.
March 14, 2002 - August 14, 2003
BROOKLIGHT PLACE SECURITIES, INC.
October 30, 2001 - February 20, 2002
MORGAN STANLEY DW INC.
February 2, 2000 - August 15, 2001
TD AMERITRADE, 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
Current Firm
VARIABLE INVESTMENT ASSOCIATES, INC.
CRD#: 44412 / SEC#: , 8-50699
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
