Daniel S. Sheedy

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CRD#: 2126369

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.

Daniel Scott Sheedy, who also goes by Dan Sheedy, was a registered financial advisor .

Daniel is a previously registered financial advisor and started their career in finance in 1991. Daniel had worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Sheedy

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

March 20, 2008 - August 4, 2008

DIRECT CAPITAL SECURITIES, INC.

CRD#: 29639

AUSTIN, TX

Past

June 20, 2006 - January 30, 2008

ONYX WEALTH ADVISORS, INC.

RIA

CRD#: 119558

DALLAS, TX

Past

June 20, 2006 - January 30, 2008

CAMBRIDGE LEGACY SECURITIES L.L.C.

CRD#: 103722

DALLAS, TX

Past

May 19, 2005 - November 16, 2005

CULLUM & BURKS SECURITIES, INC.

CRD#: 46600

DALLAS, TX

Past

March 6, 2003 - June 23, 2006

CNR SECURITIES, LLC

CRD#: 18466

NEW YORK, NY

Past

February 24, 2003 - June 23, 2006

CITY NATIONAL ROCHDALE

RIA

CRD#: 117198

NEW YORK, NY

Past

March 12, 2001 - January 7, 2002

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

October 15, 1998 - August 20, 1999

JPMSI

CRD#: 15733

NEW YORK, NY

Past

August 25, 1994 - August 5, 1997

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

November 30, 1992 - June 16, 1994

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

May 31, 1991 - August 3, 1992

UNUM SALES CORPORATION

CRD#: 5406

PORTLAND, ME

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

IAR

Series 65

Date: 9/20/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/1/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/20/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/29/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DIRECT CAPITAL SECURITIES, INC.

DIRECT CAPITAL SECURITIES, INC. | T. R. WINSTON CAPITAL, INC.

CRD#: 29639 / SEC#: , 8-44397

Cancelled by SEC on 08/27/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 12/12/1991

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
TIC CAPITAL MARKETS, INC.	CORPORATION, DIRECT OWNER
AKRIDGE, FRANK O JR	CHIEF COMPLIANCE OFFICER	4242013
GOODIN, DIANE MARIE	FINOP	3117840
STOVALL, RAYMOND P II	PRESIDENT & CEO	1057050

Disclosures

Regulatory Event	1
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Daniel S. Sheedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ONYX WEALTH ADVISORS, INC.

CAMBRIDGE LEGACY SECURITIES L.L.C.

CULLUM & BURKS SECURITIES, INC.

CNR SECURITIES, LLC

CITY NATIONAL ROCHDALE

MORGAN KEEGAN & COMPANY, LLC

JPMSI

SANFORD C. BERNSTEIN & CO., INC.

PACIFIC SELECT DISTRIBUTORS, LLC

UNUM SALES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 9/20/1994

Series 63

Date: 6/14/1993

Series 3

Date: 6/1/2005

Series 7

Date: 9/20/1993

Series 6

Date: 5/29/1991

Current Firm

DIRECT CAPITAL SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DIRECT CAPITAL SECURITIES, INC.

TRUST BUT VERIFY

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