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MS

Michael Sheehan

Some features on this profile are disabled
CRD#: 5136915
MS

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.

Michael Sheehan, who also goes by Michael James Sheehan, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael James Sheehan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 22, 2019 - April 2, 2019

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

RIA
CRD#: 151237
SARATOGA SPRINGS, NY
Past

April 4, 2017 - February 15, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

October 27, 2016 - February 15, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
LATHAM, NY
Past

September 21, 2016 - October 3, 2016

KEY INVESTMENT SERVICES LLC

RIA
CRD#: 136300
SCHENECTADY, NY
Past

September 21, 2016 - October 3, 2016

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
SCHENECTADY, NY
Past

December 1, 2014 - September 21, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
SCHENECTADY, NY
Past

December 1, 2014 - September 21, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
SCHENECTADY, NY
Past

October 29, 2013 - November 4, 2014

PRIVATE ADVISOR GROUP, LLC

RIA
CRD#: 155216
ALBANY, NY
Past

August 8, 2008 - October 20, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
ALBANY, NY
Past

August 8, 2008 - October 20, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
ALBANY, NY
Past

August 16, 2006 - March 19, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MW
MINICHMACGREGOR WEALTH MANAGEMENT, LLC
DEUCE MANAGEMENT, LLC | MINICHMACGREGOR WEALTH MANAGEMENT, LLC

CRD#: 151237 / SEC#: 801-70490

RIA
Registered Investment Advisory firm - (8/20/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/30/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/15/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2006
General Securities Representative Examination

Current Firm

MW
MINICHMACGREGOR WEALTH MANAGEMENT, LLC
DEUCE MANAGEMENT, LLC | MINICHMACGREGOR WEALTH MANAGEMENT, LLC

CRD#: 151237 / SEC#: 801-70490

RIA
Registered Investment Advisory firm - (8/20/2009 Approved)
PREMIUM
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Contact information

Main Address
21 Congress Street Suite 203, Saratoga Springs, NY 12866
Mailing Address
Phone number
(518) 499-4565
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MINICHMACGREGOR WEALTH MANAGEMENT, LLC ADV BROCHURE (4/30/2025)

Regulatory assets under management

Total Number of Accounts2,698
AUM (Assets Under Management)$ 630,016,934

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.

Company Information

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

CRD#: 151237

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