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Sheila B. Ennis

Some features on this profile are disabled
CRD#: 1777948
SE

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.

Sheila Bowman Ennis, who also goes by Sheila Ann Bowman, Sheila Ann Ennis, was a registered financial professional .

Sheila is a previously registered financial professional and started their career in finance in 1988. Sheila had worked at 4 firms and has passed the Series 63, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sheila Ann Bowman | Sheila Ann Ennis

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 27, 2012 - January 3, 2013

MILLBURN RIDGEFIELD LLC

BD
CRD#: 148870
NEW YORK, NY
Past

October 8, 2008 - January 26, 2012

MCNAMEE LAWRENCE SECURITIES, LLC

BD
CRD#: 46941
BOSTON, MA
Past

February 1, 2000 - September 25, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

April 19, 1988 - February 1, 2000

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MR
MILLBURN RIDGEFIELD LLC
HYPATIA CAPITAL ADVISORS LLC | MILLBURN RIDGEFIELD LLC | MILLBURN RIDGEFIELD CORPORATION | MANTLE CAPITAL ADVISORS LLC

CRD#: 148870 / SEC#: 801-60938, 8-68078

RIA
Registered Investment Advisory firm - SEC (3/8/2002 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

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: 10/9/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 6/6/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/2008
General Securities Representative Examination

Current Firm

MR
MILLBURN RIDGEFIELD LLC
HYPATIA CAPITAL ADVISORS LLC | MILLBURN RIDGEFIELD LLC | MILLBURN RIDGEFIELD CORPORATION | MANTLE CAPITAL ADVISORS LLC

CRD#: 148870 / SEC#: 801-60938, 8-68078

RIA
Registered Investment Advisory firm - SEC (3/8/2002 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 West 46th Street 31st Floor, New York, NY 10036
Mailing Address
55 West 46th Street 31st Floor, New York, NY 10036
Phone number
(212) 332-7300
Established
Delaware since 01/30/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
56

SEC notice filing (1 States and Territories)

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

FINRA licenses (1 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MILLBURN RIDGEFIELD LLC ADV PART 2A MARCH 2025 (3/25/2025)

Direct owners and executive officers

NamePositionCRD#
MILLBURN CAPITAL LLCSHAREHOLDER
BEKER, HARVEYCHAIRMAN4504572
BUCKBINDER, GREGG RICHARDCFO & FINOP, BROKER DEALER1899709
BUCKBINDER, GREGG RICHARDPRESIDENT, CHIEF OPERATING OFFICER1899709
FELSENTHAL, STEVEN MARCGENERAL COUNSEL/ CCO/ CEO OF THE BROKER DEALER4782179
FITZSIMMONS, MARK BRUCESENIOR VICE PRESIDENT1613090
GOODMAN, BARRY ALANCO-CHIEF EXECUTIVE OFFICER, EXECUTIVE DIRECTOR OF TRADING1785846
SMITH, GRANT NORMANCO-CHIEF EXECUTIVE OFFICER2230525
WU, ILONCHIEF FINANCIAL OFFICER7245039

Regulatory assets under management

Total Number of Accounts14
AUM (Assets Under Management)$ 8,966,474,162

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/13/2025
Cover Page
Report
12/24/2024
Cover Page
Report
11/09/2023
Cover Page
Report
09/19/2022
Cover Page
Report

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

MILLBURN RIDGEFIELD LLC

CRD#: 148870

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