TS
Timothy D. Shea
JANNEY MONTGOMERY SCOTT LLC
Denver, CO 80206
Some features on this profile are disabled
CRD#: 1785906
TS
Professional summary
Timothy Derrick Shea, who also goes by T. Derrick Shea, Derrick Shea, is a registered financial professional currently at JANNEY MONTGOMERY SCOTT LLC located in Denver, Colorado.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1988. Timothy has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
T. Derrick Shea | Derrick 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.
CRS (Client Relationship Summary) - BD
Click below to view Timothy Derrick Shea's 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®
NoneExperience
Current
March 15, 2017 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 100 Fillmore Street, Fillmore Place Suite 551, Denver, CO 80206RIA
BD
CRD#: 463
Denver, CO
Past
January 6, 2009 - March 6, 2017
ATLAS ONE FINANCIAL GROUP, LLC
BD
CRD#: 124057
PALM BEACH GARDENS, FL
Past
September 18, 2006 - January 2, 2009
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
FT. LAUDERDALE, FL
Past
August 7, 2001 - September 19, 2006
JVB FINANCIAL GROUP, LLC
BD
CRD#: 104412
BOCA RATON, FL
Past
May 2, 2000 - September 10, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 11, 1997 - May 25, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
June 9, 1993 - December 31, 1994
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
May 4, 1992 - April 16, 1993
MASTERSON MORELAND SAUER WHISMAN, INC.
BD
CRD#: 16815
Past
October 17, 1989 - March 30, 1992
BARNETT INVESTMENTS, INC.
BD
CRD#: 14897
JACKSONVILLE, FL
Past
March 3, 1989 - April 4, 1989
BARNETT INVESTMENTS, INC.
BD
CRD#: 14897
JACKSONVILLE, FL
Past
April 19, 1988 - April 15, 1989
BARNETT BOND SERVICE, INC.
BD
CRD#: 20852
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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/11/2020)
RR
Arizona(5/11/2020)
RR
Arkansas(7/23/2019)
RR
California(3/15/2017)
RR
Colorado(5/11/2020)
RR
Connecticut(3/15/2017)
RR
District of Columbia(3/15/2017)
RR
Florida(3/15/2017)
RR
Georgia(7/23/2019)
RR
Hawaii(3/15/2017)
RR
Illinois(3/15/2017)
RR
Indiana(7/23/2019)
RR
Kansas(7/23/2019)
RR
Louisiana(5/11/2020)
RR
Maryland(3/15/2017)
RR
Massachusetts(2/20/2019)
RR
Michigan(7/23/2019)
RR
Minnesota(3/15/2017)
RR
Missouri(3/15/2017)
RR
Nebraska(3/15/2017)
RR
Nevada(11/13/2020)
RR
New Jersey(3/15/2017)
RR
New Mexico(7/23/2019)
RR
New York(3/15/2017)
RR
North Carolina(3/15/2017)
RR
North Dakota(3/3/2022)
RR
Ohio(5/12/2020)
RR
Oklahoma(5/11/2020)
RR
Oregon(7/23/2019)
RR
Pennsylvania(3/15/2017)
RR
Rhode Island(5/15/2020)
RR
South Carolina(5/15/2020)
RR
Tennessee(5/15/2020)
RR
Texas(3/15/2017)
RR
Utah(7/23/2019)
RR
Virginia(5/11/2020)
RR
Washington(11/1/2021)
RR
Wisconsin(5/15/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
