Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KEVEN MICHAEL SHEEHY
KEVEN SHEEHY
CRD#: 7410219
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 ONE NORTH JEFFERSON AVENUE
MAIL CODE: H0004-05E
ST. LOUIS, MO 63103
Registration History
2021202220232024202520263 FIRMS2023 - Present (1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 1/6/2022
B
Montana 1/6/2022
B
Alaska 1/6/2022
B
Nebraska 1/6/2022
B
Arizona 1/6/2022
B
Nevada 1/6/2022
B
Arkansas 1/6/2022
B
New Hampshire 1/6/2022
B
California 1/6/2022
B
New Jersey 1/6/2022
B
Colorado 1/6/2022
B
New Mexico 1/6/2022
B
Connecticut 1/6/2022
B
New York 1/6/2022
B
Delaware 1/6/2022
B
North Carolina 1/6/2022
B
District of Columbia 1/6/2022
B
North Dakota 1/6/2022
B
Florida 1/6/2022
B
Ohio 1/7/2022
B
Georgia 1/6/2022
B
Oklahoma 1/6/2022
B
Hawaii 1/6/2022
B
Oregon 1/6/2022
B
Idaho 1/6/2022
B
Pennsylvania 1/6/2022
B
Illinois 1/6/2022
B
Puerto Rico 1/6/2022
B
Indiana 1/6/2022
B
Rhode Island 1/6/2022
B
Iowa 1/6/2022
B
South Carolina 1/6/2022
B
Kansas 1/6/2022
B
South Dakota 1/6/2022
B
Kentucky 1/6/2022
B
Tennessee 1/6/2022
B
Louisiana 1/6/2022
B
Texas 1/6/2022
B
Maine 1/6/2022
B
Utah 1/6/2022
B
Maryland 1/6/2022
B
Vermont 1/6/2022
B
Massachusetts 1/6/2022
B
Virgin Islands 1/6/2022
B
Michigan 1/6/2022
B
Virginia 1/6/2022
B
Minnesota 1/6/2022
B
Washington 1/6/2022
B
Mississippi 1/6/2022
B
West Virginia 1/6/2022
B
Missouri 9/10/2021
B
Wisconsin 1/6/2022
IA
Missouri 10/20/2023
B
Wyoming 1/6/2022

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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
WELLS FARGO ADVISORS (CRD#:11025)
ONE NORTH JEFFERSON AVENUE MAIL CODE: H0004-05E, ST. LOUIS, MO 63103
Registered with this firm since 10/23/2023
IA
WELLS FARGO ADVISORS (CRD#:19616)
ONE NORTH JEFFERSON AVENUE MAIL CODE: H0004-05E, ST. LOUIS, MO 63103-2205
Registered with this firm since 10/20/2023
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
ONE NORTH JEFFERSON AVENUE H0004-05C, ST. LOUIS, MO 63103
Registered with this firm since 10/16/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
ONE NORTH JEFFERSON AVENUE MAIL CODE: H0004-05E, ST. LOUIS, MO 63103
Registered with this firm since 8/27/2021
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.