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 registered with the SEC since 2011. The firm is classified in the dataset as an investment bank and is reported to be owned by a domestic entity and an individual. According to available records, Sherman & Company does not identify as a capital allocator, does not characterize itself as an active ESG investor, and is not registered as a multi-state adviser. The available information does not detail fee models, client segments, or specific business lines. The investment- versus banking-oriented classification suggests the firm’s primary activities are likely transactional or advisory in nature rather than serving as a discretionary asset manager, but specific services and client coverage were not provided in the dataset.

Assets & Accounts

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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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

Unlock 6 more contacts

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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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