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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

SHERMAN J FERNANDES

Advisor at INTEGRATED WEALTH CONCEPTS LLC

Rome, GA

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Search this name across graphsid dfx:ria:551db87c-4f3a-dc74-323f-a175f498b2de

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 3, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INTEGRATED WEALTH CONCEPTS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 23, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 23, 1999
First registration: Jul 3, 2000
Dual registered: yes, broker-dealer
Other names: SHERMAN JUDE FERNANDES
IAPD individual key: 3051248

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INTEGRATED WEALTH CONCEPTS LLC	Independent wealth	Apr 28, 2021	n/a	yes	Rome, GA	Current employment
LEVEL FOUR ADVISORY SERVICES	Bd affiliated wealth	Jan 8, 2014	Apr 27, 2021	no	ATLANTA, GA\|DALLAS, TX\|ROME, GA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 26, 2008	Oct 22, 2009	no	CHICAGO, IL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 14, 2005	Jan 25, 2008	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 3, 2000	Mar 14, 2005	no	PEORIA, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LEVEL FOUR ADVISORY SERVICES	INTEGRATED WEALTH CONCEPTS LLC	Apr 27, 2021	Apr 28, 2021	1	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LEVEL FOUR ADVISORY SERVICES	Oct 22, 2009	Jan 8, 2014	1,539	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 25, 2008	Sep 26, 2008	245	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Mar 14, 2005	Mar 14, 2005	0	Firm change	Other

Relationships

Registered with (4)

→ INTEGRATED WEALTH CONCEPTS LLCRegistered adviserregistration: current employment
Apr 28, 2021 to presentfactForm ADV
→ LEVEL FOUR ADVISORY SERVICESRegistered adviserregistration: previous registration
Jan 8, 2014 to Apr 27, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 26, 2008 to Oct 22, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 14, 2005 to Jan 25, 2008factForm ADV

Dated events

No dated event names this entity yet.