Adrian V. Susmano

SHERMAN & COMPANY LLC

CHARLOTTE, NC 28210

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CRD#: 3266848

Professional summary

Adrian V Susmano, who also goes by Adrian VIctor Susmano, is a registered financial professional currently at SHERMAN & COMPANY LLC located in Charlotte, North Carolina.

Adrian is registered as a RR (Registered Representative) and started their career in finance in 1999. Adrian has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Adrian Victor Susmano

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) - BD

Click below to view Adrian V Susmano'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

March 24, 2025 - Present

SHERMAN & COMPANY LLC

Office #1: 6302 Fairview Road Suite 309, Charlotte, NC 28210

CRD#: 155575

CHARLOTTE, NC

Past

July 1, 2022 - March 19, 2025

KPMG CORPORATE FINANCE LLC

CRD#: 103973

Atlanta, GA

Past

April 4, 2018 - June 14, 2022

FIFTH THIRD SECURITIES, INC.

CRD#: 628

NEW YORK, NY

Past

May 1, 2013 - February 22, 2018

BRIDGE CAPITAL ASSOCIATES, INC.

CRD#: 143475

New York, NY

Past

April 19, 2010 - June 27, 2011

MTS SECURITIES, LLC

CRD#: 104059

NEW YORK, NY

Past

June 9, 2008 - April 12, 2010

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

October 25, 2005 - March 19, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 31, 2000 - April 30, 2002

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

August 27, 1999 - January 7, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Georgia
(3/24/2025)

Exams

State Security Law Exam

Series 63

Date: 1/13/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/12/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SHERMAN & COMPANY LLC

CRD#: 155575 / SEC#: , 8-68725

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

6302 Fairview Road Suite 309, Charlotte, NC 28210

Mailing Address

6302 Fairview Road Suite 309, Charlotte, NC 28210

Phone number

(646) 321-3750

Established

North Carolina since 09/01/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (23 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SHERMAN & COMPANY HOLDINGS, LLC	OWNER
CARICO, PAMELA BEDWELL	FINOP, PFO, POO	5864266
SHERMAN, FREDERICK LAUGHTON	CEO / CCO / PRESIDENT	2357207

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

Adrian V. Susmano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adrian V Susmano's CRS (Customer Relationship Summary).

Certified licenses

Experience

KPMG CORPORATE FINANCE LLC

FIFTH THIRD SECURITIES, INC.

BRIDGE CAPITAL ASSOCIATES, INC.

MTS SECURITIES, LLC

LAZARD FRERES & CO. LLC

LEHMAN BROTHERS INC.

CIBC WORLD MARKETS CORP.

J.C. BRADFORD & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/13/2011

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2005

Series 24

Date: 9/12/2022

FINRA

Current Firm

SHERMAN & COMPANY LLC

Contact information

FINRA licenses (23 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SHERMAN & COMPANY LLC

TRUST BUT VERIFY

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