Shawn P. Leahy
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.
Shawn Patricc Leahy, who also goes by Shawn P Leahy, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2000. Shawn had worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 31 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2016 - October 13, 2017
VISION BROKERAGE SERVICES, LLC
June 1, 2009 - August 26, 2014
MORGAN STANLEY
June 1, 2009 - August 26, 2014
MORGAN STANLEY
March 16, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 6, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 6, 2006 - March 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 2006 - March 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 2002 - March 31, 2003
MORGAN STANLEY DW INC.
January 22, 2002 - March 31, 2003
MORGAN STANLEY DW INC.
October 25, 2000 - January 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
VISION BROKERAGE SERVICES, LLC
CRD#: 47927 / SEC#: , 8-51966
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | |
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
Disclosures
| Regulatory 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.
