William S. 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.
William Scott Sheehan, who also goes by Scott Sheehan, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2012 - February 18, 2025
DFPG INVESTMENTS, LLC
July 6, 2011 - October 31, 2012
INVESTORS CAPITAL CORP.
January 20, 2010 - October 31, 2012
INVESTORS CAPITAL CORP.
October 4, 2007 - January 22, 2010
OMNI BROKERAGE, INC.
July 15, 2004 - October 15, 2007
INVESTORS CAPITAL CORP.
February 24, 2003 - July 21, 2004
PROVASI CAPITAL PARTNERS LP
February 20, 2001 - December 5, 2002
AFD, INC.
January 21, 2000 - April 7, 2000
COREBRIDGE CAPITAL SERVICES, INC.
September 30, 1997 - September 24, 1998
KEYPORT FINANCIAL SERVICES CORP.
January 7, 1994 - July 21, 1997
KEY INVESTMENTS INC.
April 13, 1993 - January 20, 1994
PRUCO SECURITIES, LLC.
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
DFPG INVESTMENTS, LLC
CRD#: 155576 / SEC#: 801-107896, 8-68730
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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