Michael C. Sheehan

Some features on this profile are disabled

CRD#: 1904002

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.

Michael Cook Sheehan, who also goes by Michael C Sheehan, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 4 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael C Sheehan

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

October 14, 2011 - December 31, 2021

SIKICH FINANCIAL

RIA

CRD#: 142640

SPRINGFIELD, IL

Past

September 30, 2011 - October 12, 2021

TRIAD ADVISORS LLC

CRD#: 25803

DECATUR, IL

Past

June 20, 2008 - September 30, 2011

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

DECATUR, IL

Past

January 2, 2008 - September 30, 2011

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

DECATUR, IL

Past

August 22, 2005 - January 16, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

DECATUR, IL

Past

March 21, 1989 - January 16, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

DECATUR, IL

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".

SIKICH FINANCIAL

SIKICH CAPITAL MANAGEMENT LLC | SIKICH RETIREMENT PLAN SERVICES LLC | SIKICH FINANCIAL

CRD#: 142640 / SEC#: 801-110142

RIA

Registered Investment Advisory firm - (3/24/2017 Approved)

Florida

Registered Investment Advisory firm - (3/27/2017 Terminated)

Illinois

Registered Investment Advisory firm - (3/24/2017 Terminated)

Minnesota

Registered Investment Advisory firm - (3/27/2017 Terminated)

Missouri

Registered Investment Advisory firm - (3/27/2017 Terminated)

Ohio

Registered Investment Advisory firm - (3/27/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/27/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/10/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Current Firm

SIKICH FINANCIAL

SIKICH CAPITAL MANAGEMENT LLC | SIKICH RETIREMENT PLAN SERVICES LLC | SIKICH FINANCIAL

CRD#: 142640 / SEC#: 801-110142

RIA

Registered Investment Advisory firm - (3/24/2017 Approved)

Florida

Registered Investment Advisory firm - (3/27/2017 Terminated)

Illinois

Registered Investment Advisory firm - (3/24/2017 Terminated)

Minnesota

Registered Investment Advisory firm - (3/27/2017 Terminated)

Missouri

Registered Investment Advisory firm - (3/27/2017 Terminated)

Ohio

Registered Investment Advisory firm - (3/27/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/27/2017 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3051 Hollis Drive 3rd Floor, Springfield, IL 62704

Mailing Address

Phone number

(217) 862-1843

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIKICH CAPITAL MANAGEMENT LLC ADV PART 2 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,236
AUM (Assets Under Management)	$ 919,996,863

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael C. Sheehan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRIAD ADVISORS LLC

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

SIKICH FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 4/10/1989

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1989

Current Firm

SIKICH FINANCIAL

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIKICH FINANCIAL

TRUST BUT VERIFY

Similar Advisors