Brooks Sherman, financial advisor Pittsfield MA
90 score

Brooks Sherman

CRD Number: 5359331
Current Firm: Rbc Capital Markets, LLC

Brooks Sherman (CRD# 5359331) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Pittsfield, MA and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Rbc Capital Markets, LLC Pittsfield, MA Jan 2012 - Current 4
N/a Lenox, MA Jun 2011 - Dec 2011 < 1
Silverleaf Resorts Lee, MA Apr 2011 - May 2011 < 1
N/a Providence, RI Sep 2010 - Mar 2011 < 1
Abacus Costumes & Props Chatsworth, CA Jul 2010 - Sep 2010 < 1
Beacon Hill Staffing Group Boston, MA Oct 2009 - Apr 2010 < 1
N/a Lenox, MA Jun 2009 - Sep 2009 < 1
Williams College Williamstown, MA Sep 2008 - Jun 2009 < 1
Berkshire Historical Society Pittsfield, MA Jun 2008 - Aug 2008 < 1
Williams College Williamstown, MA Sep 2007 - Jun 2008 < 1
Ubs Financial Services Pittsfield, MA Jun 2007 - Aug 2007 < 1
Williams College Williamstown, MA Sep 2006 - Jun 2007 < 1
Shakespeare & Company Lenox, MA Jun 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2012
Contact Info for Brooks M. Sherman
Phone Number: 212-858-7000
Firm Website: https://www.rbccm.com
Registered State(s):
  • MA
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
90
Clean Record
This advisor has a clean track record with regulators.

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