Michael B. Sheehan
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 Brendan Sheehan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2016 - September 21, 2023
WELLS FARGO CLEARING SERVICES, LLC
January 20, 2016 - September 21, 2023
WELLS FARGO CLEARING SERVICES, LLC
August 27, 2008 - July 29, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 21, 2005 - August 28, 2007
IFMG SECURITIES, INC.
September 19, 2002 - October 4, 2004
IFMG SECURITIES, INC.
July 26, 2000 - April 19, 2002
BNY MELLON SECURITIES CORPORATION
July 15, 1999 - July 3, 2000
BOFA DISTRIBUTORS, INC.
October 17, 1997 - July 15, 1999
KEYPORT FINANCIAL SERVICES CORP.
January 15, 1997 - January 20, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 15, 1997 - January 20, 1998
OSAIC FA, INC.
September 5, 1996 - December 6, 1996
GOLDK INVESTMENT SERVICES, INC
August 29, 1996 - September 13, 1996
GUARANTY BROKERAGE SERVICES, INC.
January 1, 1996 - February 6, 1996
FIRST UNION BROKERAGE SERVICES, INC.
June 25, 1993 - January 1, 1996
MARKETING ONE SECURITIES, INC.
June 22, 1992 - July 8, 1993
USLIFE EQUITY SALES CORP.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
