Michael J. 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.
Michael John Shea was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2004 - October 18, 2024
MOSAIC RESEARCH, INC.
September 25, 2002 - January 14, 2003
ENDATUM SECURITIES, INC.
April 20, 1999 - December 4, 2001
D.A. DAVIDSON & CO.
February 1, 1999 - March 18, 1999
SUTRO & CO. INCORPORATED
April 3, 1997 - February 8, 1999
CHARTER INVESTMENT GROUP, INC.
January 15, 1996 - April 9, 1997
SUTRO & CO. INCORPORATED
September 24, 1992 - April 4, 1996
CHARTER INVESTMENT GROUP, INC.
November 25, 1987 - October 16, 1991
BLACK & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MOSAIC RESEARCH, INC.
CRD#: 130169 / SEC#:
Contact information
Red Flags
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