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Sean M. Shea
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Raleigh, NC 27609
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CRD#: 2097497
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Professional summary
Sean Michael Shea is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Raleigh, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Raleigh, North Carolina.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Sean has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) PARTNERS FINANCIAL NETWORK, 700 Spring Forest Rd, Suite 230, Raleigh NC 27609, United States, 02/07/2007, Owner, Insurance/Benefits/Human Resources, NIR, 80 HR/MO - 16 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-80 HR/MO-80/TRADING. 04/23/21 3) SHEA REV, 1301 Thaney Ct, Wake Forest NC 27587, United States, 10/01/2021, Owner, Real Estate, NIR, 5 HR/MO - 1 HR/MO TRADING 4) GRIFFIN DISTRIBUTION PARTNERS, 700 Spring Forest Rd, Suite 230, Raleigh NC 27609, United States, 11/11/2022, Owner, Insurance/Benefits/Human Resources, NIR, 30 HR/MO - 120 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael 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
April 23, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 700 Spring Forest Rd. Suite 230, Raleigh, NC 27609RIA
CRD#: 134139
Raleigh, NC
Current
April 23, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 700 Spring Forest Rd. Suite 230, Raleigh, NC 27609BD
CRD#: 39543
Raleigh, NC
Past
August 29, 2005 - May 4, 2021
OSAIC FS, INC.
RIA
CRD#: 3870
RALEIGH, NC
Past
January 3, 2005 - May 4, 2021
OSAIC FS, INC.
BD
CRD#: 3870
RALEIGH, NC
Past
September 8, 2000 - November 11, 2004
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
HOUSTON, TX
Past
October 1, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
October 1, 1990 - November 11, 2004
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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.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
Arizona(4/17/2023)
RR
Arkansas(1/16/2025)
RR
California(4/23/2021)
RR
Colorado(4/23/2021)
RR
Connecticut(4/23/2021)
RR
Delaware(4/23/2021)
RR
District of Columbia(4/23/2021)
RR
Florida(4/23/2021)
RR
Georgia(4/23/2021)
RR
Kansas(1/3/2022)
RR
Louisiana(4/23/2021)
RR
Maryland(4/23/2021)
RR
Massachusetts(4/23/2021)
RR
Missouri(11/1/2024)
RR
Nebraska(1/3/2022)
RR
New Jersey(4/23/2021)
RR
New York(4/23/2021)
RR
North Carolina(4/23/2021)
IAR
North Carolina(4/23/2021)
RR
Pennsylvania(4/23/2021)
RR
Rhode Island(4/23/2021)
RR
South Carolina(4/23/2021)
RR
Tennessee(4/23/2021)
RR
Texas(4/23/2021)
IAR
Texas(4/23/2021)
RR
Virginia(4/23/2021)
RR
West Virginia(4/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Raleigh, NC 27609TRUST BUT VERIFY
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