Craig J. 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.
Craig Jay Sherman was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2011. Craig had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2017 - October 15, 2020
WYNSTON HILL CAPITAL, LLC
April 24, 2017 - June 5, 2017
AEON CAPITAL INC
August 25, 2011 - September 27, 2016
MIDDLEBURY 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
Exams
Series 28
Date: 5/18/2011
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WYNSTON HILL CAPITAL, LLC
CRD#: 103811 / SEC#: , 8-52299
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
