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Brett Errol Sherpan

Brett E. Sherpan

CHICAGO OAKBROOK FINANCIAL GROUP
OAK BROOK, IL 60523
Some features on this profile are disabled
CRD#: 4519541
Brett Errol Sherpan

Professional summary

Brett Errol Sherpan, CFP® is a registered financial advisor currently at CHICAGO OAKBROOK FINANCIAL GROUP located in Oak Brook, Illinois.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Brett has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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. Fixed insurance sales; as of July, 2002; 7% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, BSWM, Inc.; a private entity established for tax purposes; as of 01/01/2021; 1% of time spent during business hours; Conducted at branch location; Not Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Errol Sherpan'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®
CFP®

Certified Financial Planner

Start date: 2013

Experience

Current

December 10, 2024 - Present

CHICAGO OAKBROOK FINANCIAL GROUP

Office #1: 903 Commerce Drive, Suite 300, Oak Brook, IL 60523
RIA
CRD#: 333344
OAK BROOK, IL
Past

August 1, 2007 - December 31, 2024

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
PLAINFIELD, IL
Past

August 1, 2007 - December 31, 2024

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
PLAINFIELD, IL
Past

March 5, 2003 - August 1, 2007

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
OAKBROOK, IL
Past

April 4, 2002 - August 1, 2007

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
OAKBROOK, IL

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".
CO
CHICAGO OAKBROOK FINANCIAL GROUP
401K TEAM | COFG ADVISORS, LLC | CHICAGO OAKBROOK FINANCIAL GROUP

CRD#: 333344 / SEC#: 801-131428

RIA
Registered Investment Advisory firm - (11/6/2024 Approved)

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
Illinois
(12/10/2024)
IAR
Texas
(12/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/2/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/11/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/3/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CO
CHICAGO OAKBROOK FINANCIAL GROUP
401K TEAM | COFG ADVISORS, LLC | CHICAGO OAKBROOK FINANCIAL GROUP

CRD#: 333344 / SEC#: 801-131428

RIA
Registered Investment Advisory firm - (11/6/2024 Approved)
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Contact information

Main Address
903 Commerce Drive, Suite 300, Oak Brook, IL 60523
Mailing Address
Phone number
(630) 954-5572
Established
Firm type
Fiscal year end
# of Employees
18

SEC notice filing (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts1,116
AUM (Assets Under Management)$ 907,280,235

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.

Company Information

CHICAGO OAKBROOK FINANCIAL GROUP

CRD#: 333344Oak Brook, IL 60523

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