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Sheri Ann Zimmerman

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Information

Firm:
Type: Dual Registration
Description

Sheri Zimmerman is a financial professional at Tiaa-Cref Advice and Planning Services, a broker-dealer with over 3,450 registered representatives nationwide. Sheri has held an industry securities registration for 14 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Tiaa-Cref Advice and Planning Services 13 years, 3 months Jun 2001 - Present
TIAA 13 years, 3 months Jun 2001 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 02/22/2007
General Securities Representative ExaminationSeries 7 03/14/2005
Uniform Securities Agent State Law ExaminationSeries 63 12/15/1999
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 12/13/1999

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Sheri Ann Zimmerman has not answered any questions on Financial Q&A.

Top Guides

Sheri Ann Zimmerman has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/10/2014
05/15/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Other: COMPENSATION FROM AFFILIATES