Seth Sherry
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.
Seth Sherry, who also goes by Seth Sunshine Sherry, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 2003. Seth had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2024 - March 13, 2025
CORECAP INVESTMENTS, LLC
January 3, 2022 - June 23, 2023
INVESTMENT DISTRIBUTORS, INC.
June 1, 2018 - January 3, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 16, 2004 - June 12, 2018
SLD AMERICA EQUITIES, INC.
January 7, 2003 - December 1, 2004
NATIONWIDE INVESTMENT SERVICES CORPORATION
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
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| 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.
