James Joseph Sheehan

CRD 2717102 · Charles Schwab & Co., Inc. · Glen Allen, VA

IA RegisteredBroker

Also appears in the source record as: James J Sheehan; Jim Sheehan; Jimmy Sheehan; Jj Sheehan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (12): Alabama · California · Florida · Georgia · Maryland · Michigan · North Carolina · Pennsylvania · South Carolina · Tennessee · Texas · Virginia
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2717102 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Glen Allen, VA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Glen Allen, VA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Glen Allen, VA · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
Glen Allen, VA · BC capacity

Feb 16, 2016 → May 11, 2024
Td Ameritrade Investment Management, LLC
Glen Allen, VA · IA capacity

Feb 16, 2016 → Sep 7, 2023
Td Ameritrade, Inc.
Glen Allen, VA · IA capacity

Feb 16, 2016 → Oct 14, 2022
Wells Fargo Advisors, LLC
Richmond, VA · BC capacity

Mar 29, 2012 → Feb 1, 2016
Wells Fargo Advisors, LLC
Richmond, VA · IA capacity

Mar 28, 2012 → Feb 1, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Richmond, VA · IA capacity

Oct 23, 2009 → Dec 20, 2011
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Richmond, VA · BC capacity

Oct 23, 2009 → Dec 20, 2011
Banc Of America Investment Services, Inc.
Richmond, VA · IA capacity

Dec 11, 2008 → Oct 23, 2009
Banc Of America Investment Services, Inc.
Richmond, VA · BC capacity

Feb 11, 2008 → Oct 23, 2009
First Dominion Capital Corp.
Richmond, VA · BC capacity

Jan 1, 2008 → Feb 14, 2008
First Union Brokerage Services, Inc.
Charlotte, NC · BC capacity

Apr 11, 2000 → Oct 1, 2000

Source & corrections

Where this page comes from

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