Charles W. Sherrod
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.
Charles Wayne Sherrod, who also goes by Charlie Sherrod, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2000. Charles had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2017 - October 25, 2017
CAPITAL RETIREMENT PLANNING, LLC
February 29, 2012 - October 17, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 18, 2012 - October 16, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 20, 2007 - January 20, 2012
RAYMOND JAMES & ASSOCIATES, INC.
October 1, 2007 - January 20, 2012
RAYMOND JAMES & ASSOCIATES, INC.
August 21, 2001 - October 11, 2007
CITIGROUP GLOBAL MARKETS INC.
April 19, 2000 - October 11, 2007
CITIGROUP GLOBAL MARKETS 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
CAPITAL RETIREMENT PLANNING, LLC
CRD#: 145156 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 335 |
| AUM (Assets Under Management) | $ 35,111,524 |
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.
