Stephen D. Sherman
Professional summary
Stephen D Sherman is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Los Angeles, California.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2011. Stephen has worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen D Sherman's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 15, 2011 - Present
IMPERIAL CAPITAL, LLC
Office #1: 10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/3/2011)
(10/9/2012)
(6/12/2013)
(11/15/2018)
(10/9/2012)
(10/9/2012)
(10/3/2011)
(10/10/2012)
(1/1/2018)
(9/15/2016)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/22/2012
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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