Gregg ShermanCRD 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.
Dorman Skorheim Wealth Management LLC
Asset Planning, Inc.
The Tarbox Group, Inc.
|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|
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 Management5,065MILLIONS
Total Number of Accounts24,670ACCOUNTS
Average Account Value$205,313
- A percentage of assets under your management
- 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)
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