James P. 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.
James Patrick Sheehan, who also goes by James P Sheehan, James Sheehan, Jim Sheehan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2012. James had worked at 6 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 50 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2025 - January 23, 2026
FISHER INVESTMENTS
October 6, 2022 - November 15, 2024
FIDELITY DISTRIBUTORS COMPANY LLC
May 6, 2021 - August 18, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 27, 2020 - August 12, 2022
FIDELITY BROKERAGE SERVICES LLC
December 3, 2016 - March 11, 2020
PICKWICK CAPITAL PARTNERS, LLC
June 4, 2012 - January 13, 2016
BLUE SAND SECURITIES LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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