Sherli S. Looi

GARRISON BRADFORD & ASSOCIATES

New York, NY 10022

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CRD#: 6464703

Professional summary

Sherli Sf Looi, who also goes by Sherli Looi, is a registered financial advisor currently at GARRISON BRADFORD & ASSOCIATES INC located in New York, New York.

Sherli is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Sherli has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sherli Looi

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 Sherli Sf Looi's CRS (Customer Relationship Summary).

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

December 5, 2021 - Present

GARRISON BRADFORD & ASSOCIATES INC

Office #1: 445 Park Avenue 9th Floor, Suite 909, New York, NY 10022

RIA

CRD#: 105603

New York, NY

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".

GARRISON BRADFORD & ASSOCIATES INC

CRD#: 105603 / SEC#: 801-10937

RIA

Registered Investment Advisory firm - (8/29/1975 Approved)

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

Connecticut
(12/5/2021)

IAR

New York
(12/5/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/25/2021

Uniform Investment Adviser Law Examination

Current Firm

GARRISON BRADFORD & ASSOCIATES INC

CRD#: 105603 / SEC#: 801-10937

RIA

Registered Investment Advisory firm - (8/29/1975 Approved)

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Contact information

Main Address

445 Park Avenue 9th Floor, Suite 909, New York, NY 10022

Mailing Address

Phone number

(212) 557-7440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE SUPPLEMENT (3/14/2025)

BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 134,015,000

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.

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Sherli S. Looi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sherli Sf Looi's CRS (Customer Relationship Summary).

Certified licenses

Experience

GARRISON BRADFORD & ASSOCIATES INC

Primary Firm SEC Registration

GARRISON BRADFORD & ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/2021

Current Firm

GARRISON BRADFORD & ASSOCIATES INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GARRISON BRADFORD & ASSOCIATES INC

TRUST BUT VERIFY

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