Nicholas J. Shea

CATALYST INVESTMENT MANAGEMENT LLC

Windham, NH

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CRD#: 1308350

Professional summary

Nicholas Joseph Shea, who also goes by Nick Shea, Nicholas Shea, is a registered financial advisor currently at CATALYST INVESTMENT MANAGEMENT LLC located in Windham, New Hampshire.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Nicholas has worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Shea | Nicholas 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.

1) CATALYST INSURANCE POSITION: INSURANCE AGENT NATURE: INSURANCE AGENCY INVESTMENT RELATED: NO NUMBER OF HOURS: 10 START DATE: 07/31/2017 ADDRESS: 127 ROCKINGHAM ROAD, WINDHAM NH. 03087 DESCRIPTION: ASSIST CLIENTS IN FINDING SUITABLE HEALTHCARE SOLUTIONS, PRIMARILY FOR SENIOR CLIENTS 2) CATALYST REAL ESTATE POSITION: REALTOR NATURE: REAL ESTATE AGENCY INVESTMENT RELATED: NO NUMBER OF HOURS: 20 START DATE: 11/01/2018 ADDRESS: 19 MILLSTONE ROAD, WINDHAM NH. 03087 DESCRIPTION: BUYING, SELLING, AND LEASING REAL ESTATE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Joseph Shea's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

October 18, 2018 - Present

CATALYST INVESTMENT MANAGEMENT LLC

RIA

CRD#: 298122

Windham, NH

Past

May 13, 2021 - June 17, 2021

CRD#: 7556

Past

May 8, 1987 - December 12, 1988

W.J. NOLAN & COMPANY, INC.

CRD#: 16465

Past

January 15, 1985 - January 7, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 26, 1984 - January 8, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

CATALYST INVESTMENT MANAGEMENT LLC

CATALYST FINANCIAL ADVISORY LLC | CATALYST INVESTMENT MANAGEMENT LLC

CRD#: 298122 / SEC#: 801-127508

RIA

Registered Investment Advisory firm - (3/23/2023 Approved)

Florida

Registered Investment Advisory firm - (4/4/2023 Terminated)

Maine

Registered Investment Advisory firm - (5/31/2023 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/4/2023 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/4/2023 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2023 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(9/30/2021)

IAR

Maine
(11/9/2020)

IAR

Massachusetts
(1/15/2019)

IAR

New Hampshire
(10/18/2018)

IAR

Texas
(3/15/2021)

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

Series 24

Date: 5/30/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 6/26/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CATALYST INVESTMENT MANAGEMENT LLC

CATALYST FINANCIAL ADVISORY LLC | CATALYST INVESTMENT MANAGEMENT LLC

CRD#: 298122 / SEC#: 801-127508

RIA

Registered Investment Advisory firm - (3/23/2023 Approved)

Florida

Registered Investment Advisory firm - (4/4/2023 Terminated)

Maine

Registered Investment Advisory firm - (5/31/2023 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/4/2023 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/4/2023 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2023 Terminated)

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Contact information

Main Address

Windham, NH

Mailing Address

Phone number

(603) 952-1209

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CATALYST DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (4/28/2025)

Regulatory assets under management

Total Number of Accounts	204
AUM (Assets Under Management)	$ 121,999,175

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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Firm Stability Insights

Nicholas J. Shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Joseph Shea's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

PRIVATE CLIENT SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

W.J. NOLAN & COMPANY, INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CATALYST INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/17/2008

Series 65

Date: 1/15/1997

Series 63

Date: 11/8/1984

Series 7TO

Date: 1/2/2023

SIE

Date: 3/1/2017

Series 7

Date: 10/20/1984

Series 24

Date: 5/30/2002

Series 8

Date: 6/26/1995

Current Firm

CATALYST INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CATALYST INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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