Sherod N. Bigelow

SEROS FINANCIAL

GILBERT, AZ 85297

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CRD#: 4227114

Professional summary

Sherod Norton Bigelow is a registered financial advisor currently at SEROS FINANCIAL, LLC located in Gilbert, Arizona.

Sherod is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Sherod has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sherod Norton Bigelow's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 26, 2014 - Present

SEROS FINANCIAL, LLC

Office #1: 155 E Rivulon Blvd Suite 304, Gilbert, AZ 85297

RIA

CRD#: 166808

GILBERT, AZ

Past

February 3, 2014 - December 31, 2020

NEWMARK CAPITAL MANAGEMENT, LLC

RIA

CRD#: 153960

TEMPE, AZ

Past

June 28, 2013 - November 26, 2025

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

TEMPE, AZ

Past

April 13, 2010 - July 1, 2013

FFEC WEALTH PARTNERS LLC

CRD#: 16507

TEMPE, AZ

Past

October 31, 2005 - July 14, 2009

OSAIC SERVICES, INC.

CRD#: 133763

MESA, AZ

Past

September 5, 2000 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEROS FINANCIAL, LLC

CRD#: 166808 / SEC#: 801-120609

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

Arizona

Registered Investment Advisory firm - (4/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/15/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(2/26/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/4/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/5/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/1/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/19/2001

General Securities Principal Examination

Current Firm

SEROS FINANCIAL, LLC

CRD#: 166808 / SEC#: 801-120609

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

Arizona

Registered Investment Advisory firm - (4/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/15/2021 Terminated)

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Contact information

Main Address

2141 East Broadway Rd. Suite 220, Tempe, AZ 85282

Mailing Address

Phone number

(480) 967-1155

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A SEROS FINANCIAL, LLC (11/11/2025)

Regulatory assets under management

Total Number of Accounts	990
AUM (Assets Under Management)	$ 301,058,504

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.

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Sherod N. Bigelow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sherod Norton Bigelow's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEROS FINANCIAL, LLC

NEWMARK CAPITAL MANAGEMENT, LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

FFEC WEALTH PARTNERS LLC

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

SEROS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2013

Series 63

Date: 10/5/2000

SIE

Date: 10/1/2018

Series 7

Date: 9/1/2000

Series 24

Date: 2/19/2001

Current Firm

SEROS FINANCIAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEROS FINANCIAL, LLC

TRUST BUT VERIFY

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