Paige J. Sherman-de Beer
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.
Paige J Sherman-de Beer, who also goes by Paige J Paige Sherman-de Beer, Paige J Sherman, Paige Jean Sherman, was a registered financial professional .
Paige is a previously registered financial professional and started their career in finance in 2002. Paige had worked at 6 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2011 - May 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2011 - May 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2010 - April 30, 2010
EDWARD JONES
March 1, 2010 - April 30, 2010
EDWARD JONES
March 3, 2009 - August 31, 2009
TD AMERITRADE, INC.
February 27, 2009 - August 31, 2009
TD AMERITRADE, INC.
February 27, 2009 - August 31, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 19, 2006 - October 16, 2007
CITIGROUP GLOBAL MARKETS INC.
June 19, 2006 - October 16, 2007
CITIGROUP GLOBAL MARKETS INC.
August 13, 2002 - June 21, 2006
MORGAN STANLEY DW INC.
June 6, 2002 - June 21, 2006
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
