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GS

Gabriel M. Sherman

Some features on this profile are disabled
CRD#: 4238613
GS

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.

Gabriel Mikael Sherman was a registered financial advisor .

Gabriel is a previously registered financial advisor and started their career in finance in 2000. Gabriel had worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 4, 2010 - November 3, 2010

MILKIE/FERGUSON INVESTMENTS, INC.

RIA
CRD#: 17606
DALLAS, TX
Past

January 1, 2010 - November 3, 2010

MILKIE/FERGUSON INVESTMENTS, INC.

BD
CRD#: 17606
DALLAS, TX
Past

November 20, 2006 - April 21, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ADDISON, TX
Past

November 20, 2006 - April 21, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ADDISON, TX
Past

March 9, 2006 - September 29, 2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
IRVING, TX
Past

February 19, 2003 - September 29, 2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
IRVING, TX
Past

March 27, 2002 - January 29, 2003

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
DALLAS, TX
Past

August 13, 2001 - January 29, 2003

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

September 1, 2000 - May 17, 2001

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/13/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2000
General Securities Representative Examination

Current Firm

MI
MILKIE/FERGUSON INVESTMENTS, INC.
BAINBRIDGE, CONNALLY & LEOPOLD, INC. | MILKIE/FERGUSON INVESTMENTS, INC. | BAINBRIDGE, CONNALLY AND LEOPOLD, INCORPORATED

CRD#: 17606 / SEC#: , 8-36226

BD
Terminated by SEC on 09/24/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 04/23/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MILKIE, EDWARD MICHAELPRESIDENT/CEO871257
FUCO INVESTMENTS, INCSHAREHOLDER
AIZEN, MANNYVICE PRESIDENT, IA COMPLIANCE OFFICER1676247
MCFARLANE, TERI MICHELLECHIEF COMPLIANCE OFFICER1936786
ZELLER, THOMAS MARKFINOP5227458

Disclosures

Regulatory Event8
Civil Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MILKIE/FERGUSON INVESTMENTS, INC.

CRD#: 17606

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