Richard C. Shea
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Christopher Shea, who also goes by Richard Chirstopher Shea, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 6 firms and has passed the Series 63, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 1993 - December 31, 2007
AMERICAN INVESTORS COMPANY
April 14, 1993 - June 9, 1993
SOARES FINANCIAL GROUP, INC.
September 4, 1992 - January 19, 1993
ASB FINANCIAL SERVICES
May 9, 1990 - September 9, 1992
SOARES FINANCIAL GROUP, INC.
April 30, 1986 - May 29, 1990
CYPRESS CAPITAL CORPORATION
January 3, 1983 - May 5, 1986
GETTINS FINANCIAL GROUP, INC.
July 20, 1982 - October 20, 1982
MORGAN SECURITIES, INC.
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
