Norman R. Sherman
Securities Compliance Consultant
- Role
- Senior Partner at Sherman Group
- Location
- Scottsdale, AZ, US
- LinkedIn followers
- 500 followers
General Business & ManagementView LinkedIn profile
About Norman R. Sherman
As a Partner at Sherman Group my core focus is on Broker Dealer and Registered Investment…
Experience
Senior Partner
Apr 2020 — Present · Scottsdale, MN
Education
St. Louis Park High School
Graduate
1971 — 1973
University of Minnesota
BA, Political Science & Criminology
1973 — 1977
Western State College of Law
Juris Doctor, Law
1979 — 1981
Skills
- Anti Money Laundering
- Series 8
- Sec
- Financial Services
- Ofac
- Mutual Funds
- Securities Regulation
- Securities
- Risk Management
- Estate Planning
- Broker-Dealer
- Bank Secrecy Act
- USA Patriot Act
- Kyc
- Uniform Combined State Law
- Trading
- Series 6
- Insurance
- Series 24
- Fixed Annuities
- Series 7
- Series 14
- Hedge Funds
- Aml
- Portfolio Management
- Investment Advisory
- Investments
- Financial Risk
- Series 63
- Fraud
- Training
- Finra
- Series 65
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