Michael Sheehan

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CRD#: 5136915

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"?

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.

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

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

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

CRD#: 6413

ALBANY, NY

Past

August 16, 2006 - March 19, 2008

GOLDMAN SACHS & CO. LLC

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".

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/30/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/2006

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (9 States and Territories)

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 Accounts	2,698
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.

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Advisor Monitoring

Firm Stability Insights

Michael Sheehan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/30/2007

SIE

Date: 2/15/2018

Series 7

Date: 8/15/2006

Current Firm

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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