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Detailed Report
James Sheehan
JAMES PATRICK SHEEHAN, James P Sheehan, james sheehan
CRD#: 6859493
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 150 University 4th Floor
Tempe, AZ 85281
Registration History
20172018201920202021202220232024202520262 FIRMS2024 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2021 - 2023 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2017 - 2021 (4 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2022 - 2023 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2018 - 2021 (3 years)
License(s)

State Registrations

B
Alabama 5/16/2024
B
Nebraska 5/16/2024
B
Alaska 5/16/2024
B
Nevada 5/16/2024
B
Arizona 5/23/2024
B
New Hampshire 5/16/2024
IA
Arizona 5/28/2024
B
New Jersey 5/16/2024
B
Arkansas 5/16/2024
B
New Mexico 5/16/2024
B
California 5/16/2024
B
New York 5/16/2024
B
Colorado 5/16/2024
B
North Carolina 5/16/2024
B
Connecticut 5/16/2024
B
North Dakota 5/16/2024
B
Delaware 5/16/2024
B
Ohio 5/17/2024
B
District of Columbia 5/16/2024
B
Oklahoma 5/16/2024
B
Florida 5/16/2024
B
Oregon 5/16/2024
B
Georgia 5/16/2024
B
Pennsylvania 5/16/2024
B
Hawaii 5/16/2024
B
Puerto Rico 5/16/2024
B
Idaho 5/16/2024
B
Rhode Island 5/16/2024
B
Illinois 5/16/2024
B
South Carolina 5/16/2024
B
Indiana 5/16/2024
B
South Dakota 5/16/2024
B
Iowa 5/16/2024
B
Tennessee 5/16/2024
B
Kansas 5/16/2024
B
Texas 5/16/2024
B
Kentucky 5/16/2024
IA
Texas 5/16/2024
B
Louisiana 5/16/2024
B
Utah 5/16/2024
B
Maine 5/16/2024
B
Vermont 5/16/2024
B
Maryland 5/16/2024
B
Virgin Islands 5/16/2024
B
Massachusetts 5/16/2024
B
Virginia 5/16/2024
B
Michigan 5/16/2024
B
Washington 5/16/2024
B
Minnesota 5/16/2024
B
West Virginia 5/16/2024
B
Mississippi 5/16/2024
B
Wisconsin 5/16/2024
B
Missouri 5/16/2024
B
Wyoming 5/16/2024
B
Montana 5/16/2024

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
150 University 4th Floor, Tempe, AZ 85281
Maricopa, AZ
Registered with this firm since 5/16/2024
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
150 University 4th Floor, Tempe, AZ 85281
Maricopa, AZ
Registered with this firm since 5/16/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/14/2022 - 02/15/2023 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) SALT LAKE CITY, UT
B
 12/20/2021 - 02/13/2023 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SALT LAKE CITY, UT
IA
 02/16/2018 - 11/10/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHANDLER, AZ
B
 11/02/2017 - 11/10/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHANDLER, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.