TS
Theresa A. Sherman
CETERA INVESTMENT ADVISERS LLC
SOUTHFIELD, MI 48076
Some features on this profile are disabled
CRD#: 5420127
TS
Professional summary
Theresa Ann Sherman, who also goes by Theresa Ann Bovensiep, Theresa A Sherman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Southfield, Michigan and CETERA WEALTH SERVICES, LLC located in Southfield, Michigan.
Theresa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Theresa has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Theresa Ann Bovensiep | Theresa A Sherman
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) RENTAL PROPERTY POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2012 ADDRESS: , Clawson MI , United States DESCRIPTION: Owner 2) WSFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 04/01/2019 ADDRESS: , Southfield MI , United States DESCRIPTION: Agent/Broker 3) TROY FAMILY DAZE SECETARY POSITION: Secretary NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/06/2022 ADDRESS: SAME AS RESIDENTIAL LOCATION DESCRIPTION: Taking Meeting Notes and volunteering 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE:04/2019; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 5. NAME OF OTHER BUSINESS: WEALTH STRATEGIES FINANCIAL GROUP INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 9/2016, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Theresa Ann Sherman'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 20750 Civic Ctr Dr Ste 590, Southfield, MI 48076Office #2: 3030 North Channel Drive, Harsens Island, MI 48028RIA
CRD#: 105644
SOUTHFIELD, MI
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 20750 Civic Center Drive Suite 590, Southfield, MI 48076BD
CRD#: 13572
Southfield, MI
Past
October 25, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Southfield, MI
Past
October 24, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Southfield, MI
Past
July 24, 2014 - September 21, 2016
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
TROY, MI
Past
July 1, 2014 - September 21, 2016
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
TROY, MI
Past
October 17, 2012 - December 4, 2012
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
STERLING HEIGHTS, MI
Past
October 1, 2012 - June 20, 2014
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
STERLING HEIGHTS, MI
Past
January 20, 2010 - October 12, 2011
NEW ENGLAND SECURITIES
RIA
CRD#: 615
STERLING HEIGHTS, MI
Past
July 10, 2009 - October 12, 2011
NEW ENGLAND SECURITIES
BD
CRD#: 615
STERLING HEIGHTS, MI
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/30/2023)
RR
California(8/10/2023)
RR
Colorado(11/19/2024)
RR
Florida(8/11/2023)
RR
Indiana(8/10/2023)
RR
Michigan(8/10/2023)
IAR
Michigan(8/10/2023)
RR
Mississippi(11/7/2024)
RR
New Mexico(6/12/2025)
RR
Ohio(6/4/2024)
RR
Oklahoma(5/22/2025)
RR
South Carolina(8/10/2023)
RR
Tennessee(2/14/2025)
RR
Texas(10/18/2023)
IAR
Texas(2/2/2024)
RR
Wisconsin(6/23/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
