Erik ShermanCRD Number: 4544582
Current Firm: Signator Investors, Inc.
Erik Sherman (CRD# 4544582) is an Investment Advisor Representative working at Signator Investors, Inc. in Miami, FL and has over 14 years of experience in the finance industry.
Northstar Financial Planners, Inc.
|Signator Investors, Inc.||Boca Raton, FL||Apr 2002 - Current||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2002|
|S65||NASAA Investment Advisors Law Examination||Apr 2003|
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
Total Assets Under Management2,196MILLIONS
Total Number of Accounts25,384ACCOUNTS
Average Account Value$86,500
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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