Sheldon H. Altman
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.
Sheldon Herbert Altman, CIMA® was a registered financial professional .
Sheldon is a previously registered financial professional and started their career in finance in 1972. Sheldon had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2016 - June 16, 2020
ALTMAN ADVISORS
July 16, 2016 - June 28, 2017
PURSHE KAPLAN STERLING INVESTMENTS
November 14, 2003 - July 26, 2016
UBS FINANCIAL SERVICES INC.
November 14, 2003 - July 26, 2016
UBS FINANCIAL SERVICES INC.
January 3, 2003 - November 17, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - November 17, 2003
OPPENHEIMER & CO. INC.
August 21, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
November 16, 1979 - January 3, 2003
CIBC WORLD MARKETS CORP.
July 13, 1978 - October 9, 1979
BECKER PARIBAS INCORPORATED
December 24, 1974 - July 13, 1978
BECKER SECURITIES INCORPORATED
April 11, 1972 - November 25, 1975
A. G. BECKER & CO., INCORPORATED
Primary Firm SEC Registration
ALTMAN ADVISORS
CRD#: 281778 / SEC#: 801-108135
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
Series 5
Date: 12/21/1981
Interest Rate Options ExaminationPC
Date: 8/31/1979
AMEX Put and Call ExamSeries 1
Date: 3/29/1972
Registered Representative ExaminationSeries 40
Date: 11/13/1974
Registered Principal ExaminationCurrent Firm
ALTMAN ADVISORS
CRD#: 281778 / SEC#: 801-108135
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 609 |
| AUM (Assets Under Management) | $ 427,936,128 |
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.
