Catherine A. Sheridan

RACE ROCK CAPITAL LLC

Winchester, MA 01890

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CRD#: 1203915

Professional summary

Catherine Ann Sheridan is a registered financial professional currently at RACE ROCK CAPITAL LLC located in Winchester, Massachusetts.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 1984. Catherine has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Catherine Ann Sheridan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 16, 2015 - Present

RACE ROCK CAPITAL LLC

Office #1: 7 Wainwright Road Unit #99, Winchester, MA 01890Office #2: 7 Wainwright Road Unit #99, Winchester, MA 01890

CRD#: 153363

Winchester, MA

Past

October 27, 2010 - March 16, 2015

NORTH SOUTH CAPITAL, LLC

CRD#: 148158

NEW LENOX, IL

Past

July 25, 2007 - October 7, 2010

SOUND SECURITIES, LLC

CRD#: 122677

JERICHO, NY

Past

August 10, 2004 - July 2, 2007

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

CHICAGO, IL

Past

February 1, 1999 - July 19, 2004

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

CRD#: 38108

TORONTO, ONTARIO,

Past

August 27, 1998 - September 18, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 24, 1984 - January 1, 1999

MIDLAND WALWYN CAPITAL CORPORATION

CRD#: 2775

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(6/8/2015)

Exams

State Security Law Exam

Series 63

Date: 3/31/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/20/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 4/1/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/12/2002

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

RACE ROCK CAPITAL LLC

CRD#: 153363 / SEC#: , 8-68528

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

7 Wainwright Road Unit #99, Winchester, MA 01890

Mailing Address

7 Wainwright Road Unit #99, Winchester, MA 01890

Phone number

(617) 840-0778

Established

Delaware since 02/09/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (9 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BARTELS, CHARLES ANDREW	CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, PFO, POO	3207740
BARTELS, CHARLES RICHARD JR	MANAGING DIRECTOR	1817969
NEELY, KIMBERLY BETH	FINANCIAL OPERATIONS PRINCIPAL	2045019

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Catherine A. Sheridan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Catherine Ann Sheridan's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH SOUTH CAPITAL, LLC

SOUND SECURITIES, LLC

TRADITION SECURITIES AND DERIVATIVES LLC

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MIDLAND WALWYN CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 3/31/2003

SIE

Date: 10/1/2018

Series 3

Date: 11/20/2009

Series 55

Date: 4/1/2000

Series 7

Date: 11/17/1984

Series 24

Date: 3/26/2004

Series 4

Date: 1/12/2002

FINRA

Current Firm

RACE ROCK CAPITAL LLC

Contact information

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RACE ROCK CAPITAL LLC

TRUST BUT VERIFY

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