Sherman M. Williams
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.
Sherman Michael Williams II, who also goes by Sherman Michael Williams, Sherman Williams, was a registered financial professional .
Sherman is a previously registered financial professional and started their career in finance in 2012. Sherman had worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2020 - May 10, 2023
CAVU SECURITIES LLC
March 20, 2017 - December 31, 2018
CHARDAN CAPITAL MARKETS LLC
April 15, 2015 - March 7, 2017
GREENHILL & CO., LLC
August 14, 2012 - April 2, 2015
WILLIAM BLAIR
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAVU SECURITIES LLC
CRD#: 6906 / SEC#: , 8-18428
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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