Shelley L. Shereck
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.
Shelley Lynn Shereck was a registered financial professional .
Shelley is a previously registered financial professional and started their career in finance in 2019. Shelley had worked at 1 firm and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2019 - December 22, 2022
GARY GOLDBERG & CO., LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 11/8/2019
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
GARY GOLDBERG & CO., LLC
CRD#: 47957 / SEC#: , 8-51974
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
