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GS

Gregory C. Sherman

CITIZENS PRIVATE WEALTH
Los Angeles, CA 90025
CRD#: 5655415
Some features on this profile are disabled
GS
Gregory Christopher ShermanCITIZENS PRIVATE WEALTH

Professional summary

Gregory Christopher Sherman, who also goes by Gregory Sherman, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Los Angeles, California and CITIZENS SECURITIES, INC. located in Los Angeles, California.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Gregory has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gregory 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Christopher Sherman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 17, 2026 - Present

CITIZENS PRIVATE WEALTH

Office #1: 11755 Wilshire Blvd Ste 2300, Los Angeles, CA 90025
RIA
CRD#: 106743
Los Angeles, CA
Current

June 17, 2026 - Present

CITIZENS SECURITIES, INC.

Office #1: 11755 Wilshire Blvd, Los Angeles, CA 90025
RIA
BD
CRD#: 39550
LOS ANGELES, CA
Current

June 17, 2026 - Present

CITIZENS SECURITIES, INC.

Office #1: 11755 Wilshire Blvd, Los Angeles, CA 90025
RIA
BD
CRD#: 39550
LOS ANGELES, CA
Past

November 17, 2021 - June 18, 2026

MORGAN STANLEY

RIA
CRD#: 149777
Santa Monica, CA
Past

November 17, 2021 - June 18, 2026

MORGAN STANLEY

BD
CRD#: 149777
Santa Monica, CA
Past

January 7, 2021 - November 11, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LOS ANGELES, CA
Past

January 7, 2021 - November 11, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
LOS ANGELES, CA
Past

October 10, 2011 - November 13, 2020

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
LOS ANGELES, CA
Past

October 10, 2011 - November 13, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

August 17, 2010 - October 4, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LOS ANGELES, CA
Past

July 26, 2010 - October 4, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
LOS ANGELES, CA

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".
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA
Registered Investment Advisory firm - (2/20/1992 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
(6/17/2026)
RR
California
(6/17/2026)
IAR
California
(6/17/2026)
RR
Colorado
(6/17/2026)
IAR
Colorado
(6/17/2026)
RR
Connecticut
(6/17/2026)
IAR
Connecticut
(6/17/2026)
RR
Delaware
(6/17/2026)
IAR
Delaware
(6/17/2026)
RR
Florida
(6/17/2026)
IAR
Florida
(6/18/2026)
RR
Georgia
(6/17/2026)
RR
Hawaii
(6/17/2026)
IAR
Hawaii
(6/19/2026)
RR
Illinois
(6/17/2026)
RR
Kansas
(6/17/2026)
IAR
Kansas
(6/17/2026)
RR
Louisiana
(6/17/2026)
IAR
Louisiana
(6/17/2026)
RR
Maryland
(6/17/2026)
IAR
Maryland
(6/17/2026)
RR
Massachusetts
(6/17/2026)
RR
Minnesota
(6/17/2026)
IAR
Minnesota
(6/17/2026)
RR
Missouri
(6/17/2026)
IAR
Missouri
(6/17/2026)
RR
Nevada
(6/17/2026)
IAR
Nevada
(6/17/2026)
RR
New Jersey
(6/17/2026)
IAR
New Jersey
(6/17/2026)
RR
New York
(6/17/2026)
IAR
New York
(6/17/2026)
RR
North Carolina
(6/17/2026)
IAR
North Carolina
(6/17/2026)
RR
Oklahoma
(6/17/2026)
IAR
Oklahoma
(6/17/2026)
RR
Oregon
(6/17/2026)
IAR
Oregon
(6/17/2026)
RR
Pennsylvania
(6/17/2026)
RR
Tennessee
(6/17/2026)
RR
Texas
(6/17/2026)
IAR
Texas
(6/17/2026)
RR
Utah
(6/17/2026)
IAR
Utah
(6/17/2026)
RR
Vermont
(6/17/2026)
IAR
Vermont
(6/17/2026)
RR
Virginia
(6/17/2026)
RR
Washington
(6/17/2026)
RR
Wyoming
(6/17/2026)
IAR
Wyoming
(6/19/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/13/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/2/2021
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/23/2021
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA
Registered Investment Advisory firm - (2/20/1992 Approved)
Loading...

Contact information

Main Address
520 White Plains Road 3rd Floor, Tarrytown, NY 10591
Mailing Address
Phone number
(914) 846-0100
Established
Firm type
Fiscal year end
# of Employees
200

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART II A (3/31/2025)

Regulatory assets under management

Total Number of Accounts7,846
AUM (Assets Under Management)$ 12,182,945,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report
07/28/2023
Cover Page
Report
10/28/2022
Cover Page
Report

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.

Company Information

CITIZENS PRIVATE WEALTH

CRD#: 106743Los Angeles, CA 90025

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