Thomas B. Sherrill
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.
Thomas Beck Sherrill, who also goes by Thomas B Sherrill, Tom Sherrill, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1976. Thomas had worked at 4 firms and has passed the Series 63, Series 2, Series 7 and Series 1 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2003 - December 31, 2016
SHERRILL & HUTCHINS FINANCIAL ADVISORY INC
May 1, 1987 - April 26, 1988
SPALDING & COMPANY
December 9, 1983 - May 21, 1987
FSC SECURITIES CORPORATION
August 19, 1976 - January 4, 1984
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
SHERRILL & HUTCHINS FINANCIAL ADVISORY INC
CRD#: 105302 / SEC#: 801-22637
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
Series 2
Date: 12/16/1994
Non-Member General Securities ExaminationSeries 1
Date: 8/16/1976
Registered Representative ExaminationCurrent Firm
SHERRILL & HUTCHINS FINANCIAL ADVISORY INC
CRD#: 105302 / SEC#: 801-22637
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,316 |
| AUM (Assets Under Management) | $ 565,867,131 |
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.
