JS
John M. Sheehan
ELEVATION
New York, NY 10016
Some features on this profile are disabled
CRD#: 2272269
JS
Professional summary
John Michael Byrne Sheehan is a registered financial professional currently at ELEVATION, LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1992. John has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view John Michael Byrne Sheehan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 25, 2018 - Present
ELEVATION, LLC
Office #1: 261 Madison Avenue 9th Floor, New York, NY 10016BD
CRD#: 140341
New York, NY
Past
February 28, 2013 - April 12, 2018
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
September 29, 2010 - November 23, 2012
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
June 14, 2005 - September 30, 2010
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
February 12, 2002 - June 2, 2005
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
Past
October 1, 1993 - February 22, 2002
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
November 6, 1992 - September 22, 1993
MERRILL LYNCH GOVERNMENT SECURITIES INC.
BD
CRD#: 19693
NEW YORK, NY
Past
September 3, 1992 - September 22, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/17/2025)
RR
Alaska(4/17/2025)
RR
Arizona(4/17/2025)
RR
Arkansas(4/17/2025)
RR
California(5/25/2018)
RR
Colorado(4/17/2025)
RR
Connecticut(5/25/2018)
RR
Delaware(5/25/2018)
RR
District of Columbia(4/17/2025)
RR
Florida(5/25/2018)
RR
Georgia(4/17/2025)
RR
Hawaii(4/17/2025)
RR
Idaho(4/17/2025)
RR
Illinois(5/25/2018)
RR
Indiana(4/17/2025)
RR
Iowa(4/17/2025)
RR
Kansas(4/17/2025)
RR
Kentucky(4/17/2025)
RR
Louisiana(4/17/2025)
RR
Maine(4/17/2025)
RR
Maryland(4/17/2025)
RR
Massachusetts(4/17/2025)
RR
Michigan(4/17/2025)
RR
Minnesota(4/17/2025)
RR
Mississippi(4/17/2025)
RR
Missouri(4/17/2025)
RR
Montana(4/17/2025)
RR
Nebraska(4/17/2025)
RR
Nevada(4/17/2025)
RR
New Hampshire(4/17/2025)
RR
New Jersey(5/25/2018)
RR
New Mexico(4/17/2025)
RR
New York(5/25/2018)
RR
North Carolina(5/25/2018)
RR
North Dakota(4/17/2025)
RR
Oklahoma(4/17/2025)
RR
Oregon(4/17/2025)
RR
Pennsylvania(4/17/2025)
RR
Puerto Rico(4/17/2025)
RR
Rhode Island(4/17/2025)
RR
South Carolina(4/17/2025)
RR
South Dakota(4/17/2025)
RR
Tennessee(4/17/2025)
RR
Texas(5/25/2018)
RR
Utah(4/17/2025)
RR
Vermont(4/17/2025)
RR
Virgin Islands(4/17/2025)
RR
Virginia(4/17/2025)
RR
Washington(4/17/2025)
RR
West Virginia(4/17/2025)
RR
Wisconsin(4/17/2025)
RR
Wyoming(4/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
EL
ELEVATION, LLC
ELEVATION SECURITIES | ELEVATION, LLC
CRD#: 140341 / SEC#: , 8-67306
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
6836 Carnegie Boulevard Suite 240, Charlotte, NC 28211
Mailing Address
6836 Carnegie Boulevard Suite 240, Charlotte, NC 28211
Phone number
(704) 926-1100
Established
North Carolina since 12/27/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHEEHAN, PATRICK JAMES | MANAGING MEMBER | 2053134 |
| SARAH TRENT HARRIS IRREVOCABLE FAMILY TRUST | PASSIVE INVESTOR | |
| BARTON ASSET MANAGEMENT, LLC | PASSIVE INVESTOR | |
| CARTER III, WARREN SMOOT | PARTNER | 6751824 |
| HARRIS, MATTHEW CARTER | TRUSTEE | 6178227 |
| LUCAS, CLAIRE TOURNE | PASSIVE INVESTOR | |
| LUCAS, HAINES DEMAREST | PASSIVE INVESTOR | |
| LUCAS, JOSIAH CHARLES TRENT | TRUSTEE | 6178218 |
| PEAK6 INVESTMENTS, L.P. | PASSIVE INVESTOR | |
| PETERSON, KELSEY CARL III | REGISTERED OPTIONS PRINCIPAL | 6684459 |
| SHEEHAN, JOHN MICHAEL BYRNE | PARTNER, CEO | 2272269 |
| SILVER, SCOTT MICHAEL | CHIEF COMPLIANCE OFFICER - CCO | 2290261 |
Disclosures
| Regulatory Event | 7 |
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.
