Thomas V. Sheehan
Professional summary
Thomas Vietor Sheehan is a registered financial advisor currently at ROUND OAK CAPITAL LLC located in Charlottesville, Virginia.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thomas has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Vietor Sheehan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2015 - Present
ROUND OAK CAPITAL LLC
Office #1: 969 2nd Street Se, Charlottesville, VA 22902May 8, 2013 - December 31, 2014
ROUND OAK CAPITAL LLC
July 1, 2002 - December 17, 2004
DEUTSCHE BANK SECURITIES INC.
May 11, 2001 - July 26, 2002
ABN AMRO INCORPORATED
May 9, 2001 - May 11, 2001
ABN AMRO SECURITIES LLC
August 18, 1999 - March 9, 2001
TRADE.COM ONLINE SECURITIES, INC.
November 18, 1997 - July 28, 1999
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/29/2016)
(1/12/2015)
Exams
Current Firm
ROUND OAK CAPITAL LLC
CRD#: 139916 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 19,982,279 |
Red Flags
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