Richard W. Shea
Professional summary
Richard Wyman Shea JR, who also goes by Richard Wyman Jr Shea, Rick Shea Jr, Richard Wyman Shea, Jr., is a registered financial advisor currently at VARDON CAPITAL, L.L.C. located in Morristown, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Richard has worked at 4 firms and has passed the Series 65, Series 63, Series 55, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Wyman Shea JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2017 - Present
VARDON CAPITAL, L.L.C.
April 6, 1999 - August 16, 2004
FIRST NEW YORK SECURITIES L.L.C.
May 12, 1995 - April 1, 1997
MIDWOOD SECURITIES, INC.
October 25, 1989 - March 11, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/4/2017)
Exams
Series 55
Date: 6/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
VARDON CAPITAL, L.L.C.
CRD#: 285489 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 14,192,517 |
Red Flags
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