James H. Sherwood
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.
James Hilton Sherwood, who also goes by Jim Sherwood, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2005. James had worked at 6 firms and has passed the Series 66 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 19, 2013 - September 30, 2016
SCF INVESTMENT ADVISORS, INC.
November 21, 2013 - December 9, 2013
TRUECOURSE INVESTMENT MANAGEMENT LLC
July 8, 2013 - December 23, 2013
CONCERT WEALTH MANAGEMENT
July 10, 2008 - July 5, 2013
THE MUTUAL FUND STORE
October 8, 2007 - June 2, 2008
ALLSTATE FINANCIAL SERVICES, LLC
October 24, 2005 - September 19, 2007
A. G. EDWARDS & SONS, INC.
October 12, 2005 - September 19, 2007
A. G. EDWARDS & SONS, INC.
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
SCF INVESTMENT ADVISORS, INC.
CRD#: 123608 / SEC#: 801-71206
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,190 |
| AUM (Assets Under Management) | $ 1,349,597,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 06/28/2024 |
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.
