Jeremy A. Sherwood
Professional summary
Jeremy Alan Sherwood, who also goes by Jeremy Sherwood, is a registered financial professional currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa and SECURITIES MANAGEMENT & RESEARCH, INC. located in Cedar Rapids, Iowa.
Jeremy is registered as a RR (Registered Representative) and started their career in finance in 2009. Jeremy has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeremy Alan Sherwood's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2021 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402January 19, 2022 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402October 16, 2018 - May 27, 2021
LPL FINANCIAL LLC
August 4, 2017 - September 19, 2018
BRIGHTHOUSE SECURITIES, LLC
March 25, 2017 - July 10, 2017
MML INVESTORS SERVICES, LLC
February 21, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
December 22, 2011 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
May 6, 2010 - January 14, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
October 6, 2009 - February 18, 2010
EDWARD JONES
September 21, 2009 - February 18, 2010
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2022)
(11/30/2021)
Exams
FINRA
Current Firm
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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