Jeffrey E. Hathaway
Professional summary
Jeffrey Edward Hathaway is a registered financial professional currently at SHERMAN & COMPANY LLC located in New York, New York.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2007. Jeffrey has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Edward Hathaway's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 11, 2025 - Present
SHERMAN & COMPANY LLC
Office #1: 1 Rockefeller Plaza, Suite 1020, New York, NY 10020June 28, 2023 - April 9, 2025
PENSIONMARK SECURITIES, LLC
October 18, 2013 - April 21, 2023
HALES SECURITIES, LLC
November 5, 2007 - October 25, 2012
MMC SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/19/2025)
(4/11/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SHERMAN & COMPANY LLC
CRD#: 155575 / SEC#: , 8-68725
Contact information
FINRA licenses (23 States and Territories)
Red Flags
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