Christopher V. Sheehy

HARBORLIGHT INVESTMENTS

SANTA CRUZ, CA 95062

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CRD#: 5264526

Professional summary

Christopher Vincent Sheehy, CFP® is a registered financial advisor currently at HARBORLIGHT INVESTMENTS, LLC located in Santa Cruz, California.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Christopher has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Christopher Vincent Sheehy's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

January 10, 2017 - Present

HARBORLIGHT INVESTMENTS, LLC

Office #1: 180 7th Ave Suite 204, Santa Cruz, CA 95062

RIA

CRD#: 285805

SANTA CRUZ, CA

Past

October 21, 2015 - December 31, 2016

WYNN CAPITAL MANAGEMENT, LLC

RIA

CRD#: 119355

SANTA CRUZ, CA

Past

March 15, 2011 - January 2, 2013

STUDENT OPTIONS, LLC

CRD#: 31626

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/10/2017)

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 65

Date: 7/10/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/12/2011

General Securities Representative Examination

Current Firm

HARBORLIGHT INVESTMENTS, LLC

HARBORLIGHT INVESTMENTS LLC | HARBORLIGHT INVESTMENTS, LLC

CRD#: 285805 / SEC#:

California

Registered Investment Advisory firm - (12/5/2016 Approved)

Texas

Registered Investment Advisory firm - (1/11/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

516 El Cerrito Plaza, El Cerrito, CA 94530

Mailing Address

Phone number

(510) 558-8272

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	286
AUM (Assets Under Management)	$ 85,726,592

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Christopher V. Sheehy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Vincent Sheehy's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBORLIGHT INVESTMENTS, LLC

WYNN CAPITAL MANAGEMENT, LLC

STUDENT OPTIONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/2015

Series 63

Date: 1/7/2012

Series 7

Date: 12/12/2011

Current Firm

HARBORLIGHT INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARBORLIGHT INVESTMENTS, LLC

TRUST BUT VERIFY

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