BS
Bradley L. Sherman
SHERMAN WEALTH MANAGEMENT
Gaithersburg, MD 20878
Some features on this profile are disabled
CRD#: 5908754
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Professional summary
Bradley L Sherman, who also goes by Brad Sherman, Bradley Sherman, is a registered financial advisor currently at SHERMAN WEALTH MANAGEMENT LLC located in Gaithersburg, Maryland.
Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Bradley has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Sherman | Bradley 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.
CRS (Client Relationship Summary) - RIA
Click below to view Bradley L Sherman'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®
NoneExperience
Current
September 24, 2015 - Present
SHERMAN WEALTH MANAGEMENT LLC
Office #1: 9841 Washingtonian Blvd Suite #200, Gaithersburg, MD 20878RIA
CRD#: 281093
Gaithersburg, MD
Past
July 14, 2011 - September 25, 2015
OSAIC FS, INC.
RIA
CRD#: 3870
GAITHERSBURG, MD
Past
May 26, 2011 - September 25, 2015
OSAIC FS, INC.
BD
CRD#: 3870
GAITHERSBURG, MD
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".
SW
SHERMAN WEALTH MANAGEMENT LLC
SHERMAN WEALTH MANAGEMENT LLC
CRD#: 281093 / SEC#: 801-131124
RIA
Registered Investment Advisory firm - (9/16/2024 Approved)California
Registered Investment Advisory firm - (10/18/2024 Terminated)District of Columbia
Registered Investment Advisory firm - (9/18/2024 Terminated)Florida
Registered Investment Advisory firm - (9/18/2024 Terminated)Maryland
Registered Investment Advisory firm - (10/9/2024 Terminated)New York
Registered Investment Advisory firm - (9/18/2024 Terminated)Texas
Registered Investment Advisory firm - (9/18/2024 Terminated)Virginia
Registered Investment Advisory firm - (9/24/2024 Terminated)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.Highlighted states indicate IAR registrations
IAR
Florida(3/10/2021)
IAR
Maryland(9/24/2015)
IAR
Texas(1/7/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SW
SHERMAN WEALTH MANAGEMENT LLC
SHERMAN WEALTH MANAGEMENT LLC
CRD#: 281093 / SEC#: 801-131124
RIA
Registered Investment Advisory firm - (9/16/2024 Approved)California
Registered Investment Advisory firm - (10/18/2024 Terminated)District of Columbia
Registered Investment Advisory firm - (9/18/2024 Terminated)Florida
Registered Investment Advisory firm - (9/18/2024 Terminated)Maryland
Registered Investment Advisory firm - (10/9/2024 Terminated)New York
Registered Investment Advisory firm - (9/18/2024 Terminated)Texas
Registered Investment Advisory firm - (9/18/2024 Terminated)Virginia
Registered Investment Advisory firm - (9/24/2024 Terminated)PREMIUM
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Contact information
Main Address
9841 Washingtonian Blvd Suite #200, Gaithersburg, MD 20878
Mailing Address
Phone number
(240) 428-1622
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 390 |
| AUM (Assets Under Management) | $ 122,029,029 |
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.
