Terry Sherman, financial advisor Austin TX
83 score

Terry Sherman

CRD Number: 1445803
Current Firm: Rbc Capital Markets, LLC

Terry Sherman (CRD# 1445803) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Austin, TX and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Rbc Capital Markets, LLC Austin, TX Feb 2014 - Current 2
Morgan Stanley Smith Barney Austin, TX Jun 2009 - Feb 2014 4
Citigroup Global Markets Inc. Austin, TX Jul 1993 - Feb 2014 20
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1986
S65 NASAA Investment Advisors Law Examination Oct 1992
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Terry A. Sherman
Phone Number: 212-858-7000
Firm Website: https://www.rbccm.com
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    76,274
    MILLIONS
  • Total Number of Accounts
    192,243
    ACCOUNTS
  • Average Account Value
    $396,757
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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