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MS

Michael J. Sherman

SHERMAN WEALTH SOLUTIONS LLC
Charlotte, NC 28204
Some features on this profile are disabled
CRD#: 6084622
MS

Professional summary

Michael Joseph Sherman, CFP® is a registered financial advisor currently at SHERMAN WEALTH SOLUTIONS LLC located in Charlotte, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Michael has worked at 6 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Michael Joseph 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®
CFP®

Certified Financial Planner

Start date: 2014

Experience

Current

January 24, 2023 - Present

SHERMAN WEALTH SOLUTIONS LLC

Office #1: 301 S Mcdowell Street Suite 130-a, Charlotte, NC 28204
RIA
CRD#: 324426
Charlotte, NC
Past

September 16, 2021 - January 20, 2023

VINEYARD FINANCIAL PARTNERS

RIA
CRD#: 315671
HUNTERSVILLE, NC
Past

October 14, 2016 - August 3, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
HUNTERSVILLE, NC
Past

September 19, 2016 - August 3, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
HUNTERSVILLE, NC
Past

September 28, 2012 - March 27, 2014

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
HARRISON, NY
Past

July 18, 2012 - March 27, 2014

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
HARRISON, NY

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
North Carolina
(1/24/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/11/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/2016
General Securities Representative Examination

Current Firm

SW
SHERMAN WEALTH SOLUTIONS LLC
SHERMAN WEALTH SOLUTIONS LLC

CRD#: 324426 / SEC#:

North Carolina
Registered Investment Advisory firm - (1/24/2023 Approved)
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Contact information

Main Address
301 S Mcdowell Street Suite 130-a, Charlotte, NC 28204
Mailing Address
Phone number
(980) 350-0170
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts134
AUM (Assets Under Management)$ 17,602,705

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

SHERMAN WEALTH SOLUTIONS LLC

CRD#: 324426Charlotte, NC 28204

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