Ian P. Sherman
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.
Ian P Sherman was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 2013. Ian had worked at 1 firm and has passed the Series 63 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
February 13, 2013 - March 14, 2014
CHERRY TREE & ASSOCIATES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHERRY TREE & ASSOCIATES, LLC
CRD#: 115151 / SEC#: , 8-53469
Contact information
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADAM SMITH COMPANIES, LLC | MEMBER | |
| STOFER, GORDON FAIRCHILD JR | EXECUTIVE CHAIRMAN, MEMBER, ELECTED MANAGER | 1514353 |
| JOHNSON, CHAD ERIC | MANAGING PARTNER, MEMBER, CO-CEO | 2326438 |
| LATZKE, DAVID GERALD | MANAGING PARTNER, MEMBER, CO-CEO | 5291398 |
| BORTNEM, JANE MARIE | FINANCIAL AND OPERATING PRINCIPAL, CHIEF COMPLIANCE OFFICER, MEMBER | 4451428 |
| GUSENIUS, MIKKEL STEPHEN | MANAGING DIRECTOR, MEMBER | 5364764 |
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.
