MS
Michael A. Sherman
MUTUAL OF OMAHA INVESTOR SERVICES
Staten Island, NY
Some features on this profile are disabled
CRD#: 3222609
MS
Professional summary
Michael Alan Sherman, who also goes by Michael A Sherman, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Staten Island, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael A Sherman
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.
Insurance Agent; Start Date: 06/1999; Non-Investment Related; Insurance Lines: Health, Life, Annuity; Approximately 40 hours per week. Evergreen Park Condominium. Start date 12/1/2024. I participate in my Home Owners Association Board as Board Member about 2 to 3 hours a month voting on upkeep of condos, reviewing policy with management company, attending monthly meetings with other Board members and Condo manager. This is a voluntary position with no pay and have no access to writing checks or access to funds of Condo. Manager of the condo is paid by the HOA to handle those situations. We may vote on what needs to be done and direct manager.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Alan Sherman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Alan Sherman's 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®
NoneExperience
Current
April 25, 2018 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #2: Four Greentree Centre 601 Route 73 North, Suite 206, Marlton, NJ 08053RIA
BD
CRD#: 611
Staten Island, NY
Current
February 15, 2010 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: Four Greentree Centre 601 Route 73 North, Suite 206, Marlton, NJ 08053RIA
BD
CRD#: 611
Marlton, NJ
Past
February 5, 2008 - January 27, 2010
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
STATEN ISLAND, NY
Past
January 23, 2007 - February 1, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
BD
CRD#: 103919
STATEN ISLAND, NY
Past
January 1, 2005 - January 23, 2007
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
January 13, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
July 30, 2002 - December 3, 2003
NEW ENGLAND SECURITIES
RIA
CRD#: 615
SOMERVILLE, NJ
Past
July 7, 2000 - December 3, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 26, 1999 - June 27, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, 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".
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
MOFA | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | MUTUAL OF OMAHA FUND MANAGEMENT COMPANY | MUTUAL OF OMAHA FINANCIAL ADVISORS | MUTUAL OF OMAHA ADVISORS | MOIS
CRD#: 611 / SEC#: 801-61332, 8-47290
RIA
Registered Investment Advisory firm - SEC (7/30/2002 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Connecticut(8/28/2025)
RR
Delaware(5/10/2023)
RR
Florida(10/9/2018)
RR
Georgia(10/9/2018)
RR
Maryland(8/28/2025)
RR
New Jersey(2/15/2010)
IAR
New Jersey(4/25/2018)
RR
New York(2/15/2010)
IAR
New York(10/5/2022)
RR
Pennsylvania(10/3/2019)
RR
South Carolina(10/9/2019)
RR
Virginia(2/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
MOFA | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | MUTUAL OF OMAHA FUND MANAGEMENT COMPANY | MUTUAL OF OMAHA FINANCIAL ADVISORS | MUTUAL OF OMAHA ADVISORS | MOIS
CRD#: 611 / SEC#: 801-61332, 8-47290
RIA
Registered Investment Advisory firm - SEC (7/30/2002 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020
Mailing Address
3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020
Phone number
(402) 351-3102
Established
Nebraska since 09/01/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
277
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
