Sherry M. Birnbaum
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.
Sherry M Birnbaum, CFP®, CPWA®, who also goes by Sherry M. Birnbaum, Sherry M Miller, Sherry Miller, Sherry M Miller-leiter, Sherry Segal, was a registered financial professional .
Sherry is a previously registered financial professional and started their career in finance in 1979. Sherry had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 5, Series 7, Series 9, Series 10 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
Start date: 1987
Start date: 2021-07-08
Expire date: 2023-05-31
Experience
May 27, 2022 - April 24, 2026
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
February 16, 2018 - April 24, 2026
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
February 16, 2018 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 25, 2002 - February 20, 2018
WELLS FARGO CLEARING SERVICES, LLC
March 14, 2002 - February 20, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 13, 2001 - February 27, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
March 30, 1992 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
March 11, 1980 - May 9, 1990
CITIGROUP GLOBAL MARKETS INC.
January 29, 1979 - March 22, 1980
LEHMAN BROTHERS KUHN LOEB 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 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 8
Date: 11/28/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
