Thomas Sheehan, financial advisor Rochester NY
83 score

Thomas Sheehan

CRD Number: 1827225
Current Firm: Axa Advisors, LLC

Thomas Sheehan (CRD# 1827225) is an Investment Advisor Representative working at Axa Advisors, LLC in Rochester, NY and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Axa Advisors, LLC New York, NY Jun 2005 - Current 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1988
S65 NASAA Investment Advisors Law Examination Sep 1999
Disclosure Information

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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Thomas K. Sheehan
Phone Number: 212-314-4600
Firm Website: http://axa.us.com
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    9,867
    MILLIONS
  • Total Number of Accounts
    40,093
    ACCOUNTS
  • Average Account Value
    $246,096
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • 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)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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