John E. 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.
John Eliot Sherman, who also goes by John E Sherman, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 9 firms and has passed the Series 63, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 1989 - July 25, 1989
FIRST EAGLE, INC.
February 22, 1985 - July 15, 1987
HAMILTON BOHNER, INC.
June 20, 1984 - January 17, 1985
GRAYSTONE NASH, INC.
April 13, 1982 - February 27, 1984
PAULSON INVESTMENT COMPANY LLC
April 1, 1980 - March 12, 1982
G. S. OMNI CORPORATION
February 8, 1980 - April 5, 1982
SECURITY TRADERS, INC.
May 28, 1978 - January 20, 1980
AMERICAN WESTERN SECURITIES, INC.
October 26, 1977 - May 28, 1978
AMERICAN WESTERN SECURITIES, INC.
July 26, 1977 - December 25, 1977
PITTMAN & COMPANY, INCORPORATED
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 8
Date: 8/19/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST EAGLE, INC.
CRD#: 16509 / SEC#: , 8-34079
Contact information
Documents
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.
