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Sherman Chan

CULVERT CAPITAL
DOWNERS GROVE, IL 60515
Some features on this profile are disabled
CRD#: 5742702
SC
Sherman ChanCULVERT CAPITAL

Professional summary

Sherman Chan, who also goes by Sherman S Chan, is a registered financial professional currently at CULVERT CAPITAL LLC located in Downers Grove, Illinois.

Sherman is registered as a RR (Registered Representative) and started their career in finance in 2010. Sherman has worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 3 exams.

Aliases

Sherman S Chan

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) - BD

Click below to view Sherman Chan's 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

August 14, 2026 - Present

CULVERT CAPITAL LLC

Office #1: 4901 Forest Ave Suite C, Downers Grove, IL 60515
BD
CRD#: 313898
DOWNERS GROVE, IL
Past

June 9, 2015 - July 9, 2019

RBC CMA LTD

BD
CRD#: 121263
NEW YORK, NY
Past

May 19, 2015 - July 9, 2019

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 1, 2010 - May 3, 2011

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/4/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/29/2015
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/19/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 1/26/2010
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CULVERT CAPITAL LLC
CULVERT CAPITAL LLC

CRD#: 313898 / SEC#: , 8-70695

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4901 Forest Ave Suite C, Downers Grove, IL 60515
Mailing Address
4901 Forest Ave Suite C, Downers Grove, IL 60515
Phone number
(312) 498-4667
Established
Delaware since 03/03/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WATERSHED TECHNOLOGIES LLCSOLE MEMBER
BARRY, MICHAEL EDWARDCEO, PRINCIPAL1971845
CARROLL, JOHN DAVIDPRINCIPAL FINANCIAL OFFICER5823357
CARROLL, JOHN DAVIDFINOP5823357
CARROLL, JOHN DAVIDCHIEF COMPLIANCE OFFICER5823357

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

CULVERT CAPITAL LLC

CRD#: 313898Downers Grove, IL 60515

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