John F. Sherman
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.
John Fred Sherman JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1968. John had worked at 10 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2008 - March 10, 2016
MAXWELL SIMON, INC.
July 15, 2004 - September 17, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 23, 1988 - April 29, 2004
ROBERT W. BAIRD & CO. INCORPORATED
July 16, 1986 - February 18, 1988
TUCKER ANTHONY INCORPORATED
July 30, 1984 - June 16, 1986
MORGAN STANLEY DW INC.
January 31, 1980 - February 29, 1980
UBS FINANCIAL SERVICES INC.
January 29, 1980 - September 21, 1984
BECKER PARIBAS INCORPORATED
August 14, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
March 19, 1975 - September 7, 1978
WHITE, WELD & CO. INCORPORATED
September 12, 1968 - March 12, 1975
REYNOLDS SECURITIES, 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
PC
Date: 8/10/1977
AMEX Put and Call ExamSeries 1
Date: 9/28/1965
Registered Representative ExaminationCurrent Firm
MAXWELL SIMON, INC.
CRD#: 12667 / SEC#: , 8-22712
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MSRJG HOLDINGS, LLC | PARENT COMPANY | |
| GOODMANSON, ROBERT JOSEPH | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 726865 |
Disclosures
| Regulatory Event | 3 |
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.
