Sherman K. Ephraim
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.
Sherman K Ephraim, who also goes by Sherman Ephraim, was a registered financial professional .
Sherman is a previously registered financial professional and started their career in finance in 2005. Sherman had worked at 6 firms and has passed the Series 66, SIE, 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
January 9, 2014 - July 10, 2017
AST INVESTOR SERVICES LLC
November 9, 2012 - June 24, 2013
HOLD BROTHERS CAPITAL LLC
February 22, 2010 - February 6, 2012
KAUFMAN BROS., L.P.
June 1, 2009 - December 23, 2009
MORGAN STANLEY
June 1, 2009 - December 23, 2009
MORGAN STANLEY
January 22, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 22, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 7, 2005 - January 24, 2008
EQUITABLE ADVISORS, LLC
March 29, 2005 - January 24, 2008
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
AST INVESTOR SERVICES LLC
CRD#: 155050 / SEC#: , 8-68694
Contact information
Documents
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.
