Brian J. Sheehan

ROSSMORE PRIVATE CAPITAL

Glastonbury, CT 06033

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CRD#: 6423131

Professional summary

Brian Joseph Sheehan, CFP®, who also goes by Brian Sheehan, is a registered financial advisor currently at ROSSMORE PRIVATE CAPITAL, LLC located in Glastonbury, Connecticut.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Brian has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian 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.

I*55642 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MALTA HOUSE OF CARE, INC. INVESTMENT RELATED: N ADDRESS OF BUSINESS: 19 WOODLAND STREET, SUITE 37 HARTFORD, CONNECTICUT 6105 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 2/28/2012 NUMBER OF HOURS DEVOTED: 25 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10 DUTIES: PURPOSE OF MHOC IS TO PROVIDE PRIMARY CARE MEDICAL SERVICES TO THE VERY POOR AND UNINSURED OF HARTFORD. MY RESPONSIBILITIES INCLUDE PARTICIPATION IN OVERSIGHT OF THE OPERATIONS OF THE CLINIC, WITH A FOCUS ON BUDGETING AND FINANCIAL REPORTING ASPECTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph Sheehan's CRS (Customer Relationship Summary).

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: 2008

Experience

Current

July 26, 2017 - Present

ROSSMORE PRIVATE CAPITAL, LLC

Office #1: 628 Hebron Avenue Suite 306, Glastonbury, CT 06033

RIA

CRD#: 288453

Glastonbury, CT

Past

April 22, 2015 - May 2, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WEST HARTFORD, CT

Past

January 17, 2015 - May 2, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WEST HARTFORD, CT

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".

ROSSMORE PRIVATE CAPITAL, LLC

CRD#: 288453 / SEC#: 801-110562

RIA

Registered Investment Advisory firm - (6/2/2017 Approved)

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

Connecticut
(4/24/2020)

IAR

Texas
(7/26/2017)

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 66

Date: 4/21/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/2015

General Securities Representative Examination

Current Firm

ROSSMORE PRIVATE CAPITAL, LLC

CRD#: 288453 / SEC#: 801-110562

RIA

Registered Investment Advisory firm - (6/2/2017 Approved)

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Contact information

Main Address

628 Hebron Avenue Suite 306, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 200-6079

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROSSMORE BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	850
AUM (Assets Under Management)	$ 1,315,900,298

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2025	Cover Page	Report
10/09/2024	Cover Page	Report
09/27/2023	Cover Page	Report
09/07/2022	Cover Page	Report

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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Brian J. Sheehan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph Sheehan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSSMORE PRIVATE CAPITAL, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ROSSMORE PRIVATE CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/21/2015

SIE

Date: 5/2/2017

Series 7

Date: 1/17/2015

Current Firm

ROSSMORE PRIVATE CAPITAL, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ROSSMORE PRIVATE CAPITAL, LLC

TRUST BUT VERIFY

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