Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Denis Sheehan is a financial advisor with over 25 years of experience in the industry. James has held various positions at leading financial institutions including Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc. and Raymond James & Associates, Inc. James is currently registered with LPL Financial LLC. James holds a variety of licenses and designations including Series 3, 7, 9, 10, 63, and 65. James also holds the Certified Financial Planner designation. James provides a range of financial services to individuals, families, and businesses. James is committed to providing clients with personalized financial advice and guidance to help them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
SC
04/13/2023 - Present
LPL Financial LLC (DANIEL ISLAND SC)
NY
11/30/2017 - 04/20/2023
RAYMOND JAMES & ASSOCIATES, INC. (New York NY)
NJ
06/25/1999 - 12/11/2017
UBS FINANCIAL SERVICES INC. (FLORHAM PARK NJ)
NY
08/04/1997 - 07/01/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 11/03/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/29/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/15/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/2001
Series 3 - National Commodity Futures Examination
BC
Issued 08/01/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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