Gregg Sherman, financial advisor San Clemente CA
83 score

Gregg Sherman

CRD Number: 5510672
Current Firm: U.s. Bancorp Investments, Inc.

Gregg Sherman (CRD# 5510672) is an Investment Advisor Representative working at U.s. Bancorp Investments, Inc. in San Clemente, CA and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
U.s. Bancorp Investments, Inc. Rancho Cucamonga, CA Jul 2013 - Current 3
Wells Fargo Advisors LLC Newport Beach, CA Jan 2011 - Jun 2013 2
Wells Fargo Investments, LLC Newport Beach, CA Mar 2008 - Jan 2011 2
Wells Fargo Bank, N.a. Newport Beach, CA Oct 2006 - Sep 2008 1
California Pizza Kitchen Mission Viejo, CA Sep 2001 - Oct 2006 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination May 2008
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 Gregg S. Sherman
Phone Number: 800-888-4700
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    5,065
    MILLIONS
  • Total Number of Accounts
    24,670
    ACCOUNTS
  • Average Account Value
    $205,313
Compensation Options
  • A percentage of assets under your management
  • Other
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
  • Selection of other advisers (including private fund managers)
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, VT, WA, WI, WV

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BADGES
83

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