Sherman & Company LLC

Broker-DealerFINRA MemberEst. 2011
Total AUM
—
Advisory reps
12
Avg account
$0

Firm details

Headquarters
Charlotte, North Carolina
CRD number
155575
Registered since
June 14, 2011

Firm profile

FINTRX

Overview

Sherman & Company LLC is organized as a limited liability company and is classified in the data as an investment bank. The firm shows an SEC registration year of 2011 and is listed with owner type described as both a domestic entity and an individual. The snapshot flags several negatives: it is not identified as a capital allocator, not an active ESG investor, not a multi-state adviser, not newly formed, not a pension consultant, and not a related adviser. The dataset does not include a client roster, fee schedule, or details about its business and advisory activities.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 3
  • Sarah Westbrook

    Sarah Westbrook

    Chief Compliance OfficerCRD 4751500

  • Frederick Sherman

    Frederick Sherman

    CEOCRD 2357207

  • Pamela Carico

    Pamela Carico

    CFO and Managing DirectorCRD 5864266

Contacts

3 of 9
  • James Mclain

    James Mclain

    Managing DirectorCRD 2389716

  • Jeffrey Hathaway

    Jeffrey Hathaway

    Managing DirectorCRD 5436845

  • John Donovan

    John Donovan

    DirectorCRD 6726643

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Charlotte, NC

Mecklenburg

Location

Charlotte, NC

Headquartered in Charlotte, NC, anchoring the Charlotte-Concord, NC-SC metro in the South.

Metro area
Charlotte-Concord, NC-SC
Region
South
County
Mecklenburg
Address
6302 Fairview Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth