William 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.
William Erwin Sherman JR, who also goes by Bill Sherman Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1979. William had worked at 6 firms and has passed the Series 63, Series 7, Series 5, Series 3 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
June 7, 1998 - December 9, 1998
IDS LIFE INSURANCE COMPANY
June 7, 1998 - December 9, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
April 5, 1993 - May 13, 1997
PRUDENTIAL EQUITY GROUP, LLC
March 10, 1982 - June 3, 1986
MORGAN STANLEY DW INC.
August 27, 1980 - April 5, 1982
E. F. HUTTON & COMPANY INC
September 19, 1979 - September 25, 1980
THE ROBINSON-HUMPHREY COMPANY, LLC
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: 8/28/1984
Interest Rate Options ExaminationSeries 8
Date: 10/11/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
