SB
Sherod N. Bigelow
SEROS FINANCIAL
Tempe, AZ 85282
Some features on this profile are disabled
CRD#: 4227114
SB
Professional summary
Sherod Norton Bigelow is a registered financial advisor currently at SEROS FINANCIAL, LLC located in Tempe, Arizona and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Tempe, Arizona.
Sherod is registered as an IAR (Investment Advisor Representative) and RR (Registered 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.
1.) SHEROD NORTON BIGELOW - PRODUCER - NON-VARIABLE INSURANCE - TEMPE, AZ - SINCE 01/2011 - INVESTMENT RELATED 2.) NOTARY PUBLIC - NOTARY - STATE OF ARIZONA NOTARY PUBLIC - TEMPE, AZ - SINCE 08/1999 - NOT INVESTMENT RELATED 3.) SEROS FINANCIAL, LLC - OFFICE MANAGER - GENERAL CLERICAL SUPPORT, BOOKKEEPING AND CUSTOMER SERVICE - TEMPE, AZ - SINCE 07/2011 - INVESTMENT RELATED 4.) SEROS FINANCIAL, LLC - CHIEF COMPLIANCE OFFICER & PRINCIPAL - REGISTERED INVESTMENT ADVISOR - TEMPE, AZ - SINCE 02/2014 - INVESTMENT RELATED 5.) SEROS FINANCIAL - SERVICE TEAM - DBA NAME FOR MARKETING PURPOSES ONLY - TEMPE, AZ - SINCE 08/2022 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Sherod Norton Bigelow's 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®
NoneExperience
Current
February 26, 2014 - Present
SEROS FINANCIAL, LLC
Office #1: 2141 East Broadway Rd. Suite 220, Tempe, AZ 85282RIA
CRD#: 166808
Tempe, AZ
Current
June 28, 2013 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 2141 E Broadway Rd Ste 220, Tempe, AZ 85282RIA
BD
CRD#: 20804
Tempe, AZ
Past
February 3, 2014 - December 31, 2020
NEWMARK CAPITAL MANAGEMENT, LLC
RIA
CRD#: 153960
TEMPE, AZ
Past
April 13, 2010 - July 1, 2013
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
TEMPE, AZ
Past
October 31, 2005 - July 14, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
MESA, AZ
Past
September 5, 2000 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
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".
SF
SEROS FINANCIAL, LLC
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)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(2/5/2024)
RR
Arizona(6/28/2013)
IAR
Arizona(2/26/2014)
RR
California(7/25/2013)
RR
Colorado(7/25/2013)
RR
Florida(7/25/2013)
RR
Idaho(1/12/2022)
RR
Illinois(8/17/2015)
RR
Iowa(6/12/2020)
RR
Kansas(7/25/2013)
RR
Michigan(5/11/2015)
RR
Minnesota(8/14/2017)
RR
Missouri(4/24/2014)
RR
Montana(7/25/2013)
RR
Nevada(7/25/2013)
RR
New Mexico(7/25/2013)
RR
New York(7/25/2013)
RR
North Carolina(7/25/2013)
RR
North Dakota(2/14/2025)
RR
Oklahoma(7/25/2013)
RR
Oregon(1/6/2025)
RR
South Carolina(1/12/2022)
RR
South Dakota(4/25/2022)
RR
Texas(7/25/2013)
RR
Utah(7/25/2013)
RR
Virginia(7/25/2013)
RR
Washington(7/25/2013)
RR
Wisconsin(8/14/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SEROS FINANCIAL, LLC
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)Upgrade to AdvisorCheck Premium
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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
3
SEC notice filing (5 States and Territories)
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.
