Senior Partner
Current
Apr 2020 - Present
AeroLeads people directory · profile
Norman R. Sherman, Jd Email & Phone Number
Securities Compliance Consultant
at
Sherman Group
1 work email found
@horacemann.com
1 phone found area 800
LinkedIn matched
✓ Verified Jun 2026
4 data sources
Profile completeness 100%
Current company
Role
Securities Compliance Consultant
Location
Scottsdale, Arizona, United States
Company size
Who is Norman R. Sherman, Jd? Overview
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Quick answer
Norman R. Sherman, Jd is listed as Securities Compliance Consultant at Sherman Group, a company with 2 employees, based in Scottsdale, Arizona, United States. AeroLeads shows a work email signal at horacemann.com, phone signal with area code 800, and a matched LinkedIn profile for Norman R. Sherman, Jd.
Norman R. Sherman, Jd previously worked as Senior Partner at Sherman Group and President/CEO & Chief Compliance Officer at Horace Mann Investors, Inc.. Norman R. Sherman, Jd holds Juris Doctor, Law from Western State University College Of Law.
Company email context
Email format at Sherman Group
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*@horacemann.com
68% confidence
AeroLeads found 1 current-domain work email signal for Norman R. Sherman, Jd. Compare company email patterns before reaching out.
Profile bio
About Norman R. Sherman, Jd
As a Partner at Sherman Group my core focus is on Broker Dealer and Registered Investment Advisor regulation. A results oriented executive and attorney with more than 25 years of experience and expertise in managing broker dealer and investment advisor operations, risk and compliance functions. I now serve as an embedded Securities Compliance Consultant. Proficient at overseeing regulatory compliance of broker-dealer and investment advisor sales practices, supervisory procedures including branch operations, public communications, advertising, sales literature, audit, and insurance sales activities. Creative, motivational team leader with highly developed skills to mentor and empower team members to most effectively and efficiently utilize their ability. Superior communication talents and proven ability to author and deliver policies and procedures to assure compliance with industry regulations. Responds to compliance and regulatory challenges with confidence, determination and focus. A former member of the FINRA Exam Writing Committee.Specialties: •
Listed skills include Finra, Series 7, Securities, Series 63, and 29 others.
Current workplace
Norman R. Sherman, Jd's current company
Company context helps verify the profile and gives searchers a useful next step.
Sherman Group
6 roles · 24 years
Norman R. Sherman, Jd work experience
A career timeline built from the work history available for this profile.
President/Ceo & Chief Compliance Officer
Horace Mann Investors, Inc.
Mar 2014 - Apr 2020
Chief Compliance Officer
Oct 2009 - Apr 2020
Chief Compliance Officer
Tcf Investments
2002 - Jan 2009
Director Of Compliance
* Responsible for firm compliance with all Self-Regulatory Organization, Federal, and State regulations and filings.* Managerial oversight and training of the compliance staff including 10 direct reports.* Authored and maintained the written supervisory procedures manual for all daily operations.
Sep 2001 - Jun 2002
Assistant Compliance Director
* Maintained firm supervisory procedures and manuals for retail broker-dealer operations and investment advisory services. * Administration and supervision of regulatory field audits for 300 Northwestern Mutual Life Offices conducting broker-dealer sales activities.* Oversight of sales practices and branch operations compliance for 3000 independent.
Jun 1996 - Aug 2001
3 education records
Norman R. Sherman, Jd education
Juris Doctor, Law
Ba, Political Science & Criminology
Graduate
St. Louis Park High School
FAQ
Frequently asked questions about Norman R. Sherman, Jd
Quick answers generated from the profile data available on this page.
What company does Norman R. Sherman, Jd work for?
Norman R. Sherman, Jd works for Sherman Group.
What is Norman R. Sherman, Jd's role at Sherman Group?
Norman R. Sherman, Jd is listed as Securities Compliance Consultant at Sherman Group.
What is Norman R. Sherman, Jd's email address?
AeroLeads has found 1 work email signal at @horacemann.com for Norman R. Sherman, Jd at Sherman Group.
What is Norman R. Sherman, Jd's phone number?
AeroLeads has found 1 phone signal(s) with area code 800 for Norman R. Sherman, Jd at Sherman Group.
Where is Norman R. Sherman, Jd based?
Norman R. Sherman, Jd is based in Scottsdale, Arizona, United States while working with Sherman Group.
What companies has Norman R. Sherman, Jd worked for?
Norman R. Sherman, Jd has worked for Sherman Group, Horace Mann Investors, Inc., Horace Mann, Tcf Investments, and Miller, Johnson, Steichen, Kinnard Inc..
Who are Norman R. Sherman, Jd's colleagues at Sherman Group?
Norman R. Sherman, Jd's colleagues at Sherman Group include Steph Chau.
How can I contact Norman R. Sherman, Jd?
You can use AeroLeads to view verified contact signals for Norman R. Sherman, Jd at Sherman Group, including work email, phone, and LinkedIn data when available.
What schools did Norman R. Sherman, Jd attend?
Norman R. Sherman, Jd holds Juris Doctor, Law from Western State University College Of Law.
What skills is Norman R. Sherman, Jd known for?
Norman R. Sherman, Jd is listed with skills including Finra, Series 7, Securities, Series 63, Series 24, Insurance, Financial Services, and Investments.
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