DS
David S. Sherman
TFO WEALTH PARTNERS
ST LOUIS, MO
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CRD#: 5215565
DS
Professional summary
David Soltz Sherman III is a registered financial advisor currently at TFO WEALTH PARTNERS located in St Louis, Missouri.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. David has worked at 1 firm and has passed the Series 65 exam.
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) SHERMAN TDC, LLC; INVESTMENT RELATED; ADDRESS: 190 CARONDELET PLAZA SUITE 1450 CLAYTON, MO 63105; NATURE: HOLDING COMPANY FOR NON VARIABLE LIFE AND DISABILITY INSURANCE AND FIXED ANNUITIES; POSITION: MANAGER; START DATE: APRIL 2010; HRS/MTH: 60 HRS PER MONTH, ALL OF WHICH ARE DURING SECURITIES TRADING HOURS. (2) VANBRIDGE LIFE AND EXECUTIVE BENEFITS ; INVESTMENT RELATED; ADDRESS: 1440 ARROWHEAD DR MAUMEE, OH 43537; NATURE: NON VARIABLE LIFE AND DISABILITY INSURANCE AND FIXED ANNUITIES; POSITION: INDEPENDENT PRODUCER; START DATE: APRIL 2010; HRS/MTH: 60 HRS PER MONTH, ALL OF WHICH ARE DURING SECURITIES TRADING HOURS. (3) DASH3, LLC, INVESTMENT RELATED, 190 CARONDELET PLAZA SUITE 1450, CLAYTON, MO 63105, INDIRECTLY MANAGES PASSIVE LLC'S AND INDIRECTLY OWNS LIFE INSURANCE, MANAGER, START DATE: DECEMBER 2008, < 1 HOUR PER MONTH DURING SECURITIES TRADING HOURS. (4) DELSHER, LLC, INVESTMENT RELATED, 190 CARONDELET PLAZA SUITE 1450, CLAYTON, MO 63105, INDIRECTLY OWNS LIFE INSURANCE, INDIRECT MANAGER, START DATE: DECEMBER 2008, 2 HOURS PER MONTH DURING TRADING HOURS. (5) SHERMANATOR MP40, LLC, NON-INVESTMENT RELATED, 190 CARONDELET PLAZA SUITE 1450, CLAYTON, MO 63105, COLLECTIBLES, MANAGER, START DATE: JANUARY 2015, < 1 HOUR PER MONTH DURING TRADING HOURS. (6) SHERMANATOR SBR SUPPRESSOR, LLC, NONINVESTMENT RELATED, 190 CARONDELET PLAZA SUITE 1450, CLAYTON, MO 63105, NATURE: COLLECTIBLES, MANAGER, START DATE: MARCH 2016, < 1 HOUR PER MONTH DURING TRADING HOURS. (7) SPANOS PROPERTIES, LLC; INVESTMENT RELATED 190 CARONDELET PLAZA SUITE 1450, CLAYTON, MO 63105; HOLDING COMPANY AND INDIRECTLY OWNS LIFE INSURANCE; INDIRECT OWNER; SINCE 2008; 0-2 HOURS ALL OF WHICH ARE DURING SECURITIES TRADING HOURS. (8) SPANOS INVESTMENTS, LLC; INVESTMENT RELATED 190 CARONDELET PLAZA SUITE 1450, CLAYTON, MO 63105; HOLDS LIFE INSURANCE; INDIRECT OWNER; SINCE 2008; 0-2 HOURS ALL OF WHICH ARE DURING SECURITIES TRADING HOURS. (9) SHERMAN MANAGEMENT, LLC; INVESTMENT RELATED; ADDRESS: 190 CARONDELET PLAZA SUITE 1450, CLAYTON, MO 63105; NATURE: HOLDS LIFE INSURANCE AND SECURITIES; POSITION: MANAGER; START DATE: NOVEMBER 2003; HRS/MTH: <1 HR PER MONTH DURING SECURITIES TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view David Soltz Sherman III's 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®
NoneExperience
Current
January 15, 2007 - Present
TFO WEALTH PARTNERS
RIA
CRD#: 124407
ST LOUIS, MO
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".
TW
TFO WEALTH PARTNERS
HUSCH FAMILY OFFICE, LLC | WVC WEALTH ADVISORS | TFO-TDC, LLC | TFO WEALTH PARTNERS, LLC | TFO WEALTH PARTNERS | TFO PHOENIX, LLC | TFO PHOENIX | TFO | TDC VIRGINIA | TDC ST. LOUIS, LLC | TDC ST. LOUIS | TDC INVESTMENT ADVISORY | TDC DENVER | TDC CALIFORNIA | SYNERGY WEALTH PARTNERS | SYNERGY INVESTMENT MANAGEMENT | RFG INVESTMENT ADVISORY
CRD#: 124407 / SEC#: 801-62074
RIA
Registered Investment Advisory firm - (5/28/2003 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
Missouri(1/15/2007)
Current Firm
TW
TFO WEALTH PARTNERS
HUSCH FAMILY OFFICE, LLC | WVC WEALTH ADVISORS | TFO-TDC, LLC | TFO WEALTH PARTNERS, LLC | TFO WEALTH PARTNERS | TFO PHOENIX, LLC | TFO PHOENIX | TFO | TDC VIRGINIA | TDC ST. LOUIS, LLC | TDC ST. LOUIS | TDC INVESTMENT ADVISORY | TDC DENVER | TDC CALIFORNIA | SYNERGY WEALTH PARTNERS | SYNERGY INVESTMENT MANAGEMENT | RFG INVESTMENT ADVISORY
CRD#: 124407 / SEC#: 801-62074
RIA
Registered Investment Advisory firm - (5/28/2003 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1440 Arrowhead Drive, Maumee, OH 43537
Mailing Address
Phone number
(419) 891-9999
Established
Firm type
Fiscal year end
# of Employees
67
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,141 |
| AUM (Assets Under Management) | $ 4,852,786,561 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 09/21/2023 | ||
| 02/27/2023 |
Red Flags
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