Charles Kenneth Sherburne

Zacks Investment Management, Inc.

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Current Employers

Zacks Investment Management, Inc.

101 N. Wacker Drive Suite 1500, Chicago, IL 60606 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2017-05-18

IL RA
APPROVED

Since 2017-05-18

Branch Locations

101 N. Wacker Drive Suite 1500, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Burr Ridge	IL	03/2013	12/2016
Zacks Investment Management	Chicago	IL	05/2016	Present
Lbmz Securities Inc	Chicago	IL	10/2018	Present

03/2013 → 12/2016

Ameriprise Financial Services, Inc.

Burr Ridge, IL
05/2016 → Present

Zacks Investment Management

Chicago, IL
10/2018 → Present

Lbmz Securities Inc

Chicago, IL

Previous Registrations

2013-03-12 → 2017-01-06

Ameriprise Financial Services, Llc

Burr Ridge, IL
2009-10-23 → 2011-10-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Naperville, IL

Chicago, IL

Oak Brook, IL

Chicago, IL
2008-10-24 → 2009-10-23

Banc Of America Investment Services, Inc.

Naperville, IL

Chicago, IL

Boston, MA
2006-06-21 → 2008-10-24

Lasalle Financial Services, Inc.

Chicago, IL

Chicago, IL
2002-04-05 → 2006-04-12

Nuveen Fund Advisors, Llc

Chicgao, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-06-08
S63	Uniform Securities Agent State Law Examination	1997-07-09

S65 Uniform Investment Adviser Law Examination

2001-06-08
S63 Uniform Securities Agent State Law Examination

1997-07-09

Other Names

Chuck Sherburne
Charles Kenneth Sherburne

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.

PFINGSTEN PARTNERS, L.L.C.

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

GUGGENHEIM INVESTMENTS

PEKIN HARDY STRAUSS, INC.

SPIDERROCK ADVISORS, LLC

PROSPECT PARTNERS ADVISORS LLC

DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch

HAROLD NELSON LEAVELL

CARLYLE KELLY MADDEN

PHILIP JOHN RIDOLPHI

SUSAN MARY SHACKLETTE

KRISTI LYNN MILLS

NATHANIEL MITCHELL COLEMAN

KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL

PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL

GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

GUGGENHEIM INVESTMENTS · CHICAGO, IL

PEKIN HARDY STRAUSS, INC. · CHICAGO, IL

SPIDERROCK ADVISORS, LLC · CHICAGO, IL

PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL

DOYENNE WEALTH ADVISORS · CHICAGO, IL

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