Thomas SheehanCRD Number: 1221416
Current Firm: Wiley Bros.-aintree Capital, LLC
Thomas Sheehan (CRD# 1221416) is an Investment Advisor Representative working at Wiley Bros.-aintree Capital, LLC in Nashville, TN and has over 33 years of experience in the finance industry.
Retirement Resources Management, LLC
Envision Wealth Planning
Raymond James Financial Services Advisors, Inc.
|Wiley Bros.-aintree Capital, LLC||Nashville, TN||Nov 1995 - Current||21|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1984|
|S65||NASAA Investment Advisors Law Examination||Apr 1997|
|S66||NASAA Uniform Combined State Law Examination||Dec 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
- Regulatory Event
Total Assets Under Management123MILLIONS
Total Number of Accounts190ACCOUNTS
Average Account Value$649,813
- A percentage of assets under your management
- Hourly charges
- Subscription fees (for a newsletter or periodical)
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AL, AR, AZ, CA, CO, CT, FL, GA, IL, IN, KS, KY, LA, MD, MN, MS, NC, NM, NY, OH, OK, PA, SC, TN, TX, VA
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