William J. Sherman

ALLSTATE FINANCIAL SERVICES

West Long Branch, NJ 07764-1192

Some features on this profile are disabled

CRD#: 4024838

Professional summary

William Joseph Sherman, who also goes by Bill Sherman, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in West Long Branch, New Jersey.

William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Joseph Sherman'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

February 4, 2019 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 197 Wall St Ste 4, West Long Branch, NJ 07764-1192

CRD#: 18272

West Long Branch, NJ

Past

July 6, 2015 - May 10, 2018

DREXEL HAMILTON, LLC

CRD#: 143570

NEW YORK, NY

Past

March 26, 2012 - March 21, 2014

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

July 7, 2008 - September 27, 2012

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

March 18, 2004 - June 25, 2008

KAUFMAN BROS., L.P.

CRD#: 37909

NEW YORK, NY

Past

February 25, 2003 - February 18, 2004

B. RILEY & CO., LLC

CRD#: 40355

LOS ANGELES, CA

Past

June 12, 2000 - February 7, 2003

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Past

January 26, 2000 - May 24, 2000

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

November 23, 1999 - January 28, 2000

JPMSI

CRD#: 15733

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

New Jersey
(2/4/2019)

New York
(2/4/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/18/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/22/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES

CRD#: 18272 / SEC#: , 8-36365

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508-1380

Mailing Address

Po Box 83271, Lincoln, NE 68501-3271

Phone number

(877) 232-2142

Established

Delaware since 11/01/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALLSTATE INSURANCE COMPANY	OWNER
BOUDREAU, JOHN DOUGLAS	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE	6357880
DELANEY, SCOTT SULLIVAN	PRESIDENT AND CHIEF EXECUTIVE OFFICER	2978681
LANSPA, PAUL DONALD	CHIEF OPERATING OFFICER	6449159
MUELLER, DAVID JOHN	GENERAL COUNSEL AND SECRETARY	7807045
NELSON, MARY KRIS	CHAIRMAN OF THE BOARD	2464654
SWEENEY, MICHAEL DANIEL	AML OFFICER	2026113
WHITCOMB, MICHAEL JAMES	FINOP	7495756

Disclosures

Regulatory Event	4
Arbitration	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.

Similar Advisors

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

IAR

South Ozone Park, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William J. Sherman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Joseph Sherman's CRS (Customer Relationship Summary).

Certified licenses

Experience

DREXEL HAMILTON, LLC

CANACCORD GENUITY LLC

CANACCORD GENUITY SECURITIES LLC

KAUFMAN BROS., L.P.

B. RILEY & CO., LLC

NEEDHAM & COMPANY, LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

JPMSI

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/2000

Series 63

Date: 12/8/1999

SIE

Date: 5/10/2018

Series 7

Date: 11/22/1999

FINRA

Current Firm

ALLSTATE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLSTATE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors