Sydney R. Shermann
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.
Sydney Richard Shermann was a registered financial professional .
Sydney is a previously registered financial professional and started their career in finance in 1969. Sydney had worked at 4 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 1993 - December 19, 2000
MOODY CAPITAL SOLUTIONS, INC
January 1, 1991 - August 17, 1992
FIRST UNION CAPITAL MARKETS CORP.
August 3, 1973 - January 1, 1991
BUTCHER & SINGER INC.
November 6, 1969 - August 3, 1973
BUTCHER & SHERRERD
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 1
Date: 1/6/1961
Registered Representative ExaminationCurrent Firm
MOODY CAPITAL SOLUTIONS, INC
CRD#: 15989 / SEC#: , 8-32928
Contact information
FINRA licenses (9 States and Territories)
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.
