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KS

Kevin J. Sheridan

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CRD#: 1447891
KS

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.

Kevin John Sheridan was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1987. Kevin had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 28, 2016 - October 4, 2016

LPS CAPITAL LLC

BD
CRD#: 155246
Jupiter, FL
Past

November 9, 2015 - December 10, 2015

WHITAKER SECURITIES LLC

BD
CRD#: 121465
JUNO BEACH, FL
Past

March 30, 2015 - April 20, 2015

ACADEMY SECURITIES, INC.

BD
CRD#: 17433
Chapel Hill, NC
Past

January 30, 2012 - February 6, 2015

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

May 3, 2010 - January 5, 2012

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

April 8, 2008 - June 2, 2009

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

February 26, 2007 - April 29, 2008

AURIGA USA, LLC

BD
CRD#: 121731
NEW YORK, NY
Past

February 3, 2006 - March 1, 2007

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

October 3, 2005 - October 27, 2005

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

April 30, 2003 - October 12, 2005

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

February 18, 2003 - April 21, 2003

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

January 29, 2001 - March 4, 2003

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

September 5, 2000 - January 4, 2001

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

July 6, 1998 - August 14, 2000

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

August 3, 1992 - June 4, 1998

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

March 23, 1989 - March 30, 1992

CHAPDELAINE TULLETT PREBON, LLC

BD
CRD#: 7017
NEW YORK, NY
Past

May 21, 1987 - March 2, 1989

HARTFIELD, TITUS & DONNELLY, LLC

BD
CRD#: 7117

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/29/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/4/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination

Current Firm

LC
LPS CAPITAL LLC
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
600 Lexington Avenue Suite 502, New York, NY 10022
Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022
Phone number
(212) 441-3810
Established
California since 05/18/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LPS PARTNERS LLCOWNER
MEENAN, MICHAEL JSUPERVISING PRINCIPAL5368683
TARLETON, JOHN WILLIAMPRESIDENT, CCO, FINOP1631047

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Company Information

LPS CAPITAL LLC

CRD#: 155246

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