Ryan M. 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.
Ryan Michael Sheridan, who also goes by Ryan M Sheridan, Ryan Sheridan, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 1999. Ryan had worked at 11 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2023 - November 29, 2023
BARCLAYS CAPITAL INC.
July 22, 2022 - October 31, 2022
TRIPLETREE, LLC
July 22, 2022 - October 31, 2022
KIPPSDESANTO & COMPANY
February 16, 2018 - October 31, 2022
CAPITAL ONE SECURITIES, INC.
October 4, 2013 - October 26, 2017
J.P. MORGAN SECURITIES LLC
January 31, 2013 - September 26, 2013
MORGAN STANLEY
January 31, 2013 - September 26, 2013
MORGAN STANLEY
February 8, 2012 - December 21, 2012
LPL FINANCIAL LLC
January 31, 2012 - December 21, 2012
LPL FINANCIAL LLC
September 12, 2008 - February 25, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 2008 - February 25, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2003 - September 12, 2006
TD WATERHOUSE CAPITAL MARKETS, INC.
July 14, 1999 - January 24, 2003
NATIONAL FINANCIAL SERVICES LLC
February 18, 1999 - July 14, 1999
FIDELITY BROKERAGE SERVICES 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
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.
