Scott P. Sherman
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.
Scott P Sherman, who also goes by Scott P Sherman, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2015. Scott had worked at 3 firms and has passed the Series 66, SIE 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
April 26, 2022 - October 17, 2024
GALLAGHER FIDUCIARY ADVISORS, LLC
April 19, 2016 - April 6, 2022
KESTRA ADVISORY SERVICES, LLC
November 9, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
September 14, 2015 - March 31, 2022
KESTRA INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
GALLAGHER FIDUCIARY ADVISORS, LLC
CRD#: 146509 / SEC#: 801-68868
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
GALLAGHER FIDUCIARY ADVISORS, LLC
CRD#: 146509 / SEC#: 801-68868
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,754 |
| AUM (Assets Under Management) | $ 180,614,282,519 |
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.
