Garrett Matthew Sherman

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 12/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Albany, NY
• 08/2015 → 12/2020
  Bank Of America, N.A.
  Albany, NY
• 12/2020 → 07/2021
  Waddell & Reed, Inc.
  Albany, NY
• 12/2020 → 07/2021
  Various Insurance Carriers For W&R Insurance Agencies
  Rensselaer, NY
• 07/2021 → Present
  Lpl Financial, Llc
  Latham, NY

Previous Registrations

• 2020-12-04 → 2021-07-21
  Waddell & Reed
  Albany, NY
  Hamden, CT
• 2015-10-06 → 2020-12-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Albany, NY
  Delmar, NY
  Delmar, NY

Other Businesses

1. 9/1/2021 - Clarity Wealth Management LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/23/2021 - 160 Hours Per Month During Securities Trading. 2. 9/15/2021 - Wealth Management - DBA: Empire Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/02/2021 - 160 Hours Per Month During Securities Trading. 3. 05/10/2022 - Advisors Insurance Brokers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Financial Advisor - Start Date - 06/01/2021 - 5 Hours Per Month/ 5 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2015-10-05