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TS

Thomas E. Shea

CMD GLOBAL PARTNERS
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 2299633
TS
Thomas Edward SheaCMD GLOBAL PARTNERS

Professional summary

Thomas Edward Shea, who also goes by Thomas E Shea, Tom E Shea, is a registered financial professional currently at CMD GLOBAL PARTNERS, LLC located in Chicago, Illinois and IHT SECURITIES, LLC located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 20 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

Aliases

Thomas E Shea | Tom E 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.
Ravenswood Compliance LLC, 09/2015 ,non investment related, WAS FORMED TO PROVIDE COMPLIANCE CONSULTING AND SUPPORT TO STATE AND FEDERAL REGISTERED IA'S AND BD'S. COMPLIANCE SERVICES INCLUDE ACTING AS AN OUTSOURCED CCO AND/OR FINOP. I HAVE PERMISSION FROM THE EMPLOYING FIRMS TO PROVIDE THESE SERVICES. THE FIRMS FOR WHICH I SERVE AS AN OFFICER FOR ARE DISCLOSED IN THE EMPLOYMENT HISTORY OF MY FORM U4. I DO NOT ENGAGE IN TRADING ACTIVITIES OR SALES. DEDICATE 160 HOURS DURING TRADING HOURS. Mr. Shea is a Senior Consultant with Gery Sadzewicz Consulting LLC, a firm that provides business, financial, and compliance consulting services to broker dealers and investmentadvisers. Mr. Shea, as a result of this business, serves as a Chief Compliance Officer for several broker-dealers and investment advisers.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Edward 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®
None

Experience

Current

September 30, 2020 - Present

CMD GLOBAL PARTNERS, LLC

Office #1: 123 N Wacker Dr Suite 1375, Chicago, IL 60606
BD
CRD#: 306063
CHICAGO, IL
Current

January 22, 2021 - Present

IHT SECURITIES, LLC

Office #1: 123 N. Wacker Dr. Suite 2300, Chicago, IL 60606
BD
CRD#: 297984
CHICAGO, IL
Current

September 20, 2023 - Present

GCG SECURITIES, LLC

Office #1: 189 Townsend Street, Ste 200, Birmingham, MI 48009
BD
CRD#: 324243
BIRMINGHAM, MI
Current

July 22, 2026 - Present

COPPER BEECH CAPITAL LLC

Office #1: 1223 N Church St, Moorestown, NJ 08057
BD
CRD#: 334108
Moorestown, NJ
Past

April 9, 2024 - May 11, 2026

IASG ALTERNATIVES, LLC

BD
CRD#: 175478
CHICAGO, IL
Past

April 20, 2022 - November 9, 2023

HK PRIVATE CLIENT, LLC

RIA
CRD#: 315104
Chicago, IL
Past

March 10, 2022 - April 9, 2024

IASG ALTERNATIVES, LLC

BD
CRD#: 175478
CHICAGO, IL
Past

July 15, 2021 - August 14, 2023

LANDAAS & COMPANY

BD
CRD#: 47487
MILWAUKEE, WI
Past

October 22, 2020 - June 29, 2021

BRG CAPSTONE CAPITAL ADVISORS

BD
CRD#: 282519
NASHVILLE, TN
Past

July 2, 2019 - May 7, 2026

DONNELLY PENMAN & PARTNERS

BD
CRD#: 104448
GROSSE POINTE WOODS, MI
Past

June 20, 2018 - July 3, 2019

SOUTHERN WEALTH SECURITIES, LLC

BD
CRD#: 291005
DALLAS, TX
Past

June 6, 2017 - September 20, 2017

STELLAM ADVISORS LLC

RIA
CRD#: 286336
CHICAGO, IL
Past

March 29, 2017 - November 14, 2017

BROADWATER ADVISORS, LLC

RIA
CRD#: 286577
CHICAGO, IL
Past

March 27, 2017 - October 3, 2017

AHC ADVISORS, INC.

RIA
CRD#: 127364
CHICAGO, IL
Past

March 23, 2017 - December 4, 2018

NAJARIAN FAMILY OFFICE, LLC

RIA
CRD#: 282209
CHICAGO, IL
Past

February 9, 2017 - March 8, 2021

REBELLION CAPITAL ADVISORS, LLC

RIA
CRD#: 282679
CHICAGO, IL
Past

December 4, 2015 - November 6, 2018

PODESTA & CO.

BD
CRD#: 13140
CHICAGO, IL
Past

October 22, 2015 - August 2, 2017

PODESTA & CO.

RIA
CRD#: 13140
Chicago, IL
Past

July 18, 2000 - September 28, 2001

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

February 2, 2000 - August 3, 2000

GH TRADERS LLC

BD
CRD#: 36665
CHICAGO, IL
Past

February 12, 1996 - March 3, 1998

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

December 24, 1992 - March 3, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY

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
Illinois
(4/19/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/2/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/22/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/7/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/21/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CB
COPPER BEECH CAPITAL LLC
COPPER BEECH CAPITAL LLC

CRD#: 334108 / SEC#: , 8-71325

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
1223 N Church Street, Moorestown, NJ 08057
Mailing Address
1223 N Church Street, Moorestown, NJ 08057
Phone number
(856) 988-8300
Established
New Jersey since 06/14/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PARISE, JOHNMEMBER OWNER1401779
PARISE, MICHAELCEO, CCO5749379
SHEA, THOMAS EDWARDFINOP, CFO2299633

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

COPPER BEECH CAPITAL LLC

CRD#: 334108Chicago, IL 60606

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