STEVEN SHERMAN

Senior Financial Advisor

Senior Vice President - Investments

Address: 450 POST ROAD EAST , WESTPORT , CT 06880
Call: 203-221-5103  |  800-327-8557    Fax: 203-221-1625

My Background

2021 FIVE STAR WEALTH MANAGER<br/><br/>Connecticut<br/>The Five Star Wealth Manager award was issued on 11/1/21 by Five Star Professional (FSP) for the time period 2/15/21 through 09/10/21. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria - required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria - considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager's future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients' assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. 3191 Connecticut-area wealth managers were considered for the award; 272 (9% of candidates) were named 2021 Five Star Wealth Managers. Visit www.fivestarprofessional.com.

2020 FIVE STAR WEALTH MANAGER<br/>Connecticut<br/>This award was issued on 11/1/20 by Five Star Professional (FSP) for the time period 2/17/20 through 9/18/20. 3048 Connecticut-area wealth managers were considered for the award; 285 (9% of candidates) were named 2020 Five Star Wealth Managers. www.fivestarprofessional.com.<br/><br/>2019 FIVE STAR WEALTH MANAGER<br/>Connecticut<br/>This award was issued on 11/1/19 by Five Star Professional (FSP) for the time period 02/18/2019 through 09/27/2019. 3147 Connecticut-area wealth managers were considered for the award; 289 (9% of candidates) were named 2019 Five Star Wealth Managers.<br/>Westchester<br/>This award was issued on 7/1/19 by Five Star Professional (FSP) for the time period 10/9/2018 through 05/3/2019. Fee paid for use of marketing materials. 654 West Chester-area wealth managers were considered for the award; 115 (18% of candidates) were named 2019 Five Star Wealth Managers.<br/><br/>2018 FIVE STAR WEALTH MANAGER<br/>Connecticut<br/>This award was issued on 11/1/18 by Five Star Professional (FSP) for the time period 02/15/2018 through 09/21/2018. 3178 Connecticut-area wealth managers were considered for the award; 293 (9% of candidates) were named 2018 Five Star Wealth Managers.<br/><br/>2017 FIVE STAR WEALTH MANAGER<br/>Connecticut<br/>This award was issued on 11/1/17 by Five Star Professional (FSP) for the time period 02/15/2017 through 09/11/2017. 2218 Connecticut-area wealth managers were considered for the award; 283 (13% of candidates) were named 2017 Five Star Wealth Managers.<br/>Westchester<br/>This award was issued on 7/1/17 by Five Star Professional (FSP) for the time period 10/21/2016 through 05/8/2017. Fee paid for use of marketing materials. 492 West Chester-area wealth managers were considered for the award; 98 (20% of candidates) were named 2017 Five Star Wealth Managers.<br/><br/>2016 FIVE STAR WEALTH MANAGER<br/>Connecticut<br/>This award was issued on 10/1/16 by Five Star Professional (FSP) for the time period 03/25/2016 through 09/28/2016. 1985 Connecticut-area wealth managers were considered for the award; 417 (21% of candidates) were named 2016 Five Star Wealth Managers.<br/><br/>2015 FIVE STAR WEALTH MANAGER<br/>Connecticut<br/>This award was issued on 11/1/15 by Five Star Professional (FSP) for the time period 03/16/2015 through 09/10/2015. 2398 Connecticut-area wealth managers were considered for the award; 468 (20% of candidates) were named 2015 Five Star Wealth Managers.<br/><br/>2014 FIVE STAR WEALTH MANAGER<br/>Connecticut<br/>This award was issued on 11/1/14 by Five Star Professional (FSP) for the time period 03/16/2013 through 09/10/2013. 3926 Connecticut-area wealth managers were considered for the award; 515 (13% of candidates) were named 2014 Five Star Wealth Managers.<br/><br/>2013 FIVE STAR WEALTH MANAGER<br/>Connecticut<br/>This award was issued on 11/1/13 by Five Star Professional (FSP) for the time period 03/16/2012 through 09/10/2012. 2263 Connecticut-area wealth managers were considered for the award; 531 (23% of candidates) were named 2013 Five

My Associate(s): An Nguyen, Registered Client Associate

My Experience

  • - : Wells Fargo Advisors, SVP - Investments
  • - : Smith Barney-Morgan Stanley
  • - : Thomson Mckinnon

My Education & Credentials

  • Ithaca College, B.S. Finance
  • Senior PIM Portfolio Manager
Securities Registered in the following states: AL, CA, CO, CT, DC, FL, GA, IL, IN, MA, ME, NC, NJ, NV, NY, PA, RI, SC, TN, TX, VT
STEVEN SHERMAN: Financial Advisor: Wells Fargo Clearing Services, LLC
United States: Connecticut : WESTPORT Branch