Sonia F. 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.
Sonia Frances Sheehan was a registered financial professional .
Sonia is a previously registered financial professional and started their career in finance in 2009. Sonia had worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 37 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2020 - July 21, 2026
RAYMOND JAMES (USA) LTD.
September 13, 2017 - October 26, 2020
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
April 8, 2009 - August 15, 2016
HAYWOOD SECURITIES (USA) INC.
Primary Firm SEC Registration
RAYMOND JAMES (USA) LTD.
CRD#: 25853 / SEC#: 801-72137, 8-42071
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 37
Date: 4/7/2009
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
RAYMOND JAMES (USA) LTD.
CRD#: 25853 / SEC#: 801-72137, 8-42071
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
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.
