Michael D. Shea

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CRD#: 1233221

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.

Michael Daniel Shea, who also goes by Michael D Shea, Michael Shea, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6, Series 24 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael D Shea | Michael Shea

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 23, 2017 - January 17, 2018

VISION INVESTMENT ADVISORS, LLC

RIA

CRD#: 109621

MISSION VIEJO, CA

Past

April 8, 2013 - April 24, 2017

GOLD KEY WEALTH MANAGEMENT, LLC

RIA

CRD#: 167032

LAGUNA HILLS, CA

Past

November 2, 2010 - August 30, 2013

VISION INVESTMENT ADVISORS, LLC

RIA

CRD#: 109621

LAGUNA HILLS, CA

Past

November 2, 2010 - January 17, 2018

VISION BROKERAGE SERVICES, LLC

CRD#: 47927

Mission Viejo, CA

Past

October 22, 2004 - October 29, 2010

QA3 FINANCIAL LLC

RIA

CRD#: 104957

MISSION VIEJO, CA

Past

October 14, 2004 - October 29, 2010

QA3 FINANCIAL CORP.

CRD#: 14754

LAGUNA HILLS, CA

Past

August 10, 2004 - October 13, 2004

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

May 13, 1991 - December 31, 1997

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

March 9, 1990 - October 4, 1990

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

March 19, 1984 - June 27, 1989

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VISION INVESTMENT ADVISORS, LLC

VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC

CRD#: 109621 / SEC#: 801-57975

RIA

Registered Investment Advisory firm - (9/22/2000 Approved)

California

Registered Investment Advisory firm - (11/11/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (10/13/2015 Terminated)

Florida

Registered Investment Advisory firm - (10/12/2015 Terminated)

Illinois

Registered Investment Advisory firm - (10/15/2015 Terminated)

Michigan

Registered Investment Advisory firm - (10/26/2015 Terminated)

Nebraska

Registered Investment Advisory firm - (10/12/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (10/29/2015 Terminated)

New York

Registered Investment Advisory firm - (10/12/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (12/31/2015 Terminated)

Tennessee

Registered Investment Advisory firm - (10/16/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/12/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/18/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/13/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/29/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/9/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/16/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/31/2011

General Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 1/5/2011

NFA Branch Manager Examination

Current Firm

VISION INVESTMENT ADVISORS, LLC

VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC

CRD#: 109621 / SEC#: 801-57975

RIA

Registered Investment Advisory firm - (9/22/2000 Approved)

California

Registered Investment Advisory firm - (11/11/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (10/13/2015 Terminated)

Florida

Registered Investment Advisory firm - (10/12/2015 Terminated)

Illinois

Registered Investment Advisory firm - (10/15/2015 Terminated)

Michigan

Registered Investment Advisory firm - (10/26/2015 Terminated)

Nebraska

Registered Investment Advisory firm - (10/12/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (10/29/2015 Terminated)

New York

Registered Investment Advisory firm - (10/12/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (12/31/2015 Terminated)

Tennessee

Registered Investment Advisory firm - (10/16/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/12/2015 Terminated)

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Contact information

Main Address

1010 Washington Blvd Suite 300, Stamford, CT 06901

Mailing Address

Phone number

(203) 388-2700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VIA ADV PART 2A 03-15-2024 (4/23/2025)

VIA ADV PART 2A WRAP PROGRAM 3-15-2024 (3/4/2025)

Regulatory assets under management

Total Number of Accounts	98
AUM (Assets Under Management)	$ 117,879,479

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/24/2023	Cover Page	Report
11/28/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Michael D. Shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GOLD KEY WEALTH MANAGEMENT, LLC

VISION INVESTMENT ADVISORS, LLC

VISION BROKERAGE SERVICES, LLC

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

AMERITAS INVESTMENT COMPANY, LLC

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

VISION INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2004

Series 63

Date: 8/13/2004

SIE

Date: 1/17/2018

Series 3

Date: 12/29/2010

Series 7

Date: 8/9/2004

Series 6

Date: 3/16/1984

Series 24

Date: 10/31/2011

Series 30

Date: 1/5/2011

Current Firm

VISION INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VISION INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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