Carl P. Sherr
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.
Carl Paul Sherr was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1964. Carl had worked at 1 firm and has passed the SIE, Series 55 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 1964 - February 21, 2017
CARL P. SHERR & CO., LLC
Primary Firm SEC Registration
CARL P. SHERR & CO., LLC
CRD#: 3394 / SEC#: 801-66673, 8-12115
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 55
Date: 3/28/2000
Limited Representative-Equity Trader ExamSeries 00
Date: 10/27/1964
General Securities Principal ExaminationCurrent Firm
CARL P. SHERR & CO., LLC
CRD#: 3394 / SEC#: 801-66673, 8-12115
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 808 |
| AUM (Assets Under Management) | $ 450,502,980 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
