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Roy Douglas Sherman

SHERMAN ASSET MANAGEMENT, INC.·VENTURA, California
Series 65Clean record12 years registeredSHERMAN ASSET MANAGEMENT, INC.
1500 PALMA DR., VENTURA, CA 93003CRD# 6312263Firm CRD# 170861

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Roy Douglas Sherman · VENTURA, CA
Registration
CRD #6312263 · SHERMAN ASSET MANAGEMENT, INC. · 12 years registered
Brand Profile
Not yet started
01

Career History

SHERMAN ASSET MANAGEMENT, INC.
Apr 2014 – present
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · April 22, 2014
Years registered · 12
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
SHERMAN ASSET MANAGEMENT, INC.
CRD 170861 · SEC 801-129640
AUM
$122M
Regulatory assets under management
Employees
1
101 client accounts
Services offered by SHERMAN ASSET MANAGEMENT, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at SHERMAN ASSET MANAGEMENT, INC. →
Introduction

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05

Frequently Asked Questions

What services does Roy Douglas Sherman offer?
Roy Douglas Sherman specializes in Financial Planning, Investment Management. Contact their office in VENTURA, California for a consultation.
What are Roy Douglas Sherman's credentials?
Roy Douglas Sherman is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Roy Douglas Sherman located?
Roy Douglas Sherman is based in VENTURA, California, working with SHERMAN ASSET MANAGEMENT, INC.. Their office serves clients in the VENTURA metropolitan area and surrounding communities.
How does Roy Douglas Sherman charge for services?
Roy Douglas Sherman's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SHERMAN ASSET MANAGEMENT, INC.?
SHERMAN ASSET MANAGEMENT, INC. has approximately 1 employees and manages $122M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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