Scott D. Sheridan
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.
Scott Daniel Sheridan, who also goes by Scott D Sheridan, was a registered financial advisor .
Scott is a previously registered financial advisor and started their career in finance in 2002. Scott had worked at 6 firms and has passed the Series 63, Series 66, Series 34, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 4 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
June 13, 2021 - January 3, 2022
DOUGH LLC
March 10, 2016 - October 13, 2025
TASTYTRADE, INC.
June 17, 2010 - July 2, 2012
TRADEWISE ADVISORS, INC.
June 3, 2010 - July 2, 2012
TD AMERITRADE, INC.
November 4, 2002 - August 6, 2010
THINKORSWIM ADVISORS, INC.
April 3, 2002 - October 1, 2010
BELLEVUE CHICAGO, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/24/2003
Limited Representative-Equity Trader ExamCurrent Firm
DOUGH LLC
CRD#: 148243 / SEC#: , 8-67992
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
