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CS

Courtney C. Shea

Some features on this profile are disabled
CRD#: 1418109
CS

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.

Courtney Claire Shea was a registered financial professional .

Courtney is a previously registered financial professional and started their career in finance in 1985. Courtney had worked at 9 firms and has passed the Series 66, Series 63, Series 50, Series 7, Series 54, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

July 22, 2015 - April 19, 2021

COLUMBIA CAPITAL MANAGEMENT, LLC

RIA
CRD#: 112773
CHICAGO, IL
Past

February 4, 2009 - October 1, 2013

PODESTA & CO.

RIA
CRD#: 13140
CHICAGO, IL
Past

February 4, 2009 - October 1, 2013

PODESTA & CO.

BD
CRD#: 13140
CHICAGO, IL
Past

April 17, 2006 - January 22, 2008

SIEBERT WILLIAMS SHANK & CO., LLC

BD
CRD#: 42568
CHICAGO, IL
Past

December 4, 2001 - March 6, 2006

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

March 5, 1999 - December 11, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 13, 1993 - January 11, 1999

ARTEMIS CAPITAL GROUP, INC.

BD
CRD#: 7819
NEW YORK, NY
Past

September 4, 1990 - August 31, 1992

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

August 30, 1990 - September 4, 1990

BLUNT ELLIS & LOEWI INCORPORATED

BD
CRD#: 7580
Past

October 22, 1985 - April 26, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

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".
CC
COLUMBIA CAPITAL MANAGEMENT, LLC
COLUMBIA CAPITAL MANAGEMENT, LLC

CRD#: 112773 / SEC#: 801-55499

RIA
Registered Investment Advisory firm - (5/15/1998 Approved)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/2/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 50
Date: 1/15/2016
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 54
Date: 4/29/2019
Municipal Advisor Principal Qualification Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/26/1998
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/9/1992
Municipal Securities Principal Examination

Current Firm

CC
COLUMBIA CAPITAL MANAGEMENT, LLC
COLUMBIA CAPITAL MANAGEMENT, LLC

CRD#: 112773 / SEC#: 801-55499

RIA
Registered Investment Advisory firm - (5/15/1998 Approved)
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Contact information

Main Address
6700 Antioch Suite 250, Merriam, KS 66204
Mailing Address
Phone number
(913) 248-8500
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

COLUMBIA CAPITAL MANAGEMENT, LLC, INVESTMENT ADVISORY BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts102
AUM (Assets Under Management)$ 1,936,145,185

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.

Company Information

COLUMBIA CAPITAL MANAGEMENT, LLC

CRD#: 112773

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