James P. Sheehan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Patrick Sheehan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2002 - March 10, 2003
DINOSAUR FINANCIAL GROUP, L.L.C
March 19, 2002 - December 5, 2003
SALYN SECURITIES, INCORPORATED
June 27, 2001 - March 21, 2002
EBOND SECURITIES INC.
July 23, 1999 - October 11, 2000
PHOENIX FINANCIAL SERVICES CORP
September 14, 1995 - December 17, 1997
SHAMUS GROUP, INC.
February 10, 1995 - December 16, 1995
BISHOP, ALLEN, INC.
September 25, 1990 - January 31, 1995
D. H. BLAIR & CO., INC.
December 9, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
December 5, 1983 - October 19, 1990
LEHMAN BROTHERS INC.
December 31, 1981 - December 14, 1983
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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