Michael Sherman, financial advisor Chandler AZ
86 score

Michael Sherman

CRD Number: 1063330
Current Firm: Wfg Advisors, LP

Michael Sherman (CRD# 1063330) is an Investment Advisor Representative working at Wfg Advisors, LP in Chandler, AZ and has over 34 years of experience in the finance industry. Michael Sherman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Clarus Wealth Advisors, LLC Peioria, AZ Jan 2016 - Current < 1
Wfg Investments, Inc. Chandler, AZ May 2013 - Current 3
Wedbush Morgan Securities Phoenix, AZ Oct 2008 - May 2013 4
Peacock, Hislop, Staley & Given, Inc. Phoenix, AZ May 1994 - Oct 2008 14
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1982
S65 NASAA Investment Advisors Law Examination Dec 1993
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 Michael A. Sherman
By the Numbers
  • Total Assets Under Management
    1,466
    MILLIONS
  • Total Number of Accounts
    9,918
    ACCOUNTS
  • Average Account Value
    $147,783
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
86
Verified Page
Data verified by both the advisor and the public regulatory data.

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