Business Description

Sherpa Financial Services provides investment, insurance, retirement and business advisory services.

General Information

Gender:

Male

CRD#:

1798811

Name of Broker/Dealer:

Woodbury Financial Services

Name of Custodial Firm:

Pershing LLC

States Licensed in:

DE, NJ, NY, PA

States Willing to do Business in:

DE, NJ, NY, PA, MD

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations, Investment Clubs

Services

Investment Types:

Insurance, Bonds, Stocks, Annuities, Exchange Traded Funds (ETFs), Alternative Investments, Mutual Funds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Certified in Long-Term Care (CLTC)

Securities Licenses:

Series 65, Series 63, Series 7

Insurance and Annuity Licenses:

Accident, Disability, Variable Life, Long Term Care, Variable Annuity, Annuity, Life, Health

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

100

Firm's Number of Planning Clients:

Firm's Number of Managed Clients:

Advisor's Number of Clients:

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$50000

Compensation Methods:

Hourly, Based on Assets, Commissions

Prepared By:

Peter Succoso