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Detailed Report
STEVEN JAY SHERMAN
STEVE SHNURMAN, STEVEN J SHNURMAN, STEVEN JAY SHNURMAN
CRD#: 1399596
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 824 A1A N
PONTE VEDRA BEACH, FL 32082
Registration History
1985199019952000200520102015202020252 FIRMS1989 - Present (35 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1989 (<1 year)BTHE ROBINSON-HUMPHREY COMPANY INC. (CRD# 723)1986 - 1988 (2 years)BCAPITAL ANALYSTS, INCORPORATED (CRD# 5478)1985 - 1986 (<1 year)
License(s)

State Registrations

B
Alabama 5/1/2009
B
Nebraska 8/1/2024
B
Arizona 4/19/2021
B
New Jersey 11/8/1989
B
California 1/3/1996
B
New Mexico 1/10/2014
B
Colorado 6/8/2016
B
New York 2/6/1997
B
Connecticut 12/16/1991
B
North Carolina 10/18/1989
B
Delaware 9/1/2022
IA
North Carolina 7/12/2016
B
District of Columbia 8/3/2021
B
Ohio 1/10/2014
B
Florida 10/18/1989
B
Oregon 2/18/2010
IA
Florida 10/18/1989
B
Pennsylvania 1/14/1994
B
Georgia 10/18/1989
B
Rhode Island 4/5/2006
B
Illinois 10/24/2007
B
South Carolina 6/14/2005
B
Indiana 4/1/2022
B
Tennessee 1/22/2015
B
Kansas 11/2/2010
B
Texas 3/17/2006
B
Kentucky 8/1/2024
IA
Texas 3/17/2006
B
Louisiana 6/6/2018
B
Utah 2/1/2018
B
Maine 10/13/2020
B
Vermont 2/17/2025
B
Maryland 3/8/1993
B
Virginia 8/2/2000
B
Massachusetts 10/19/2011
B
Washington 10/28/2014
B
Michigan 4/17/2000
B
West Virginia 1/22/2003
B
Minnesota 5/2/2022
B
Wisconsin 9/12/2016
B
Missouri 4/8/2021

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
824 A1A N, PONTE VEDRA BEACH, FL 32082
Registered with this firm since 10/18/1989
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
824 A1A N, PONTE VEDRA BEACH, FL 32082
Registered with this firm since 10/18/1989
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/01/1988 - 11/06/1989 SHEARSON LEHMAN HUTTON INC. (CRD#:7506) NEW YORK, NY
B
 08/20/1986 - 12/08/1988 THE ROBINSON-HUMPHREY COMPANY INC. (CRD#:723)
B
 09/24/1985 - 08/29/1986 CAPITAL ANALYSTS, INCORPORATED (CRD#:5478)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.