Thomas E. Shea

DONNELLY PENMAN & PARTNERS

GROSSE POINTE WOODS, MI 48236

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CRD#: 2299633

Professional summary

Thomas Edward Shea, who also goes by Thomas E Shea, Tom E Shea, is a registered financial professional currently at DONNELLY PENMAN & PARTNERS located in Grosse Pointe Woods, Michigan and CMD GLOBAL PARTNERS, 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 19 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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).

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

July 2, 2019 - Present

DONNELLY PENMAN & PARTNERS

Office #1: 63 Kercheval Avenue, Suite 112, Grosse Pointe Woods, MI 48236

CRD#: 104448

GROSSE POINTE WOODS, MI

Current

September 30, 2020 - Present

CMD GLOBAL PARTNERS, LLC

Office #1: 123 N Wacker Dr Suite 1375, Chicago, IL 60606

CRD#: 306063

Chicago, IL

Current

January 22, 2021 - Present

IHT SECURITIES, LLC

Office #1: 123 N. Wacker Dr. Suite 2300, Chicago, IL 60606

CRD#: 297984

Chicago, IL

Current

September 20, 2023 - Present

GCG SECURITIES, LLC

Office #1: 189 Townsend Street, Ste 200, Birmingham, MI 48009

CRD#: 324243

Birmingham, MI

Current

April 9, 2024 - Present

IASG ALTERNATIVES, LLC

Office #1: 141 West Jackson Blvd Suite 1940, Chicago, IL 60604

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

CRD#: 175478

CHICAGO, IL

Past

July 15, 2021 - August 14, 2023

LANDAAS & COMPANY

CRD#: 47487

MILWAUKEE, WI

Past

October 22, 2020 - June 29, 2021

BRG CAPSTONE CAPITAL ADVISORS

CRD#: 282519

NASHVILLE, TN

Past

June 20, 2018 - July 3, 2019

SOUTHERN WEALTH SECURITIES, LLC

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.

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

CRD#: 13071

DALLAS, TX

Past

February 2, 2000 - August 3, 2000

GH TRADERS LLC

CRD#: 36665

CHICAGO, IL

Past

February 12, 1996 - March 3, 1998

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

December 24, 1992 - March 3, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

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

Series 63

Date: 2/22/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/7/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/21/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

IASG ALTERNATIVES, LLC

IASG ALTERNATIVES | IASG ALTERNATIVES, LLC

CRD#: 175478 / SEC#: , 8-69601

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

141 West Jackson Blvd Suite 1940, Chicago, IL 60604

Mailing Address

141 West Jackson Blvd Suite 1940, Chicago, IL 60604

Phone number

(312) 561-3149

Established

Illinois since 02/24/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JONKHEER, JONPAUL	SHAREHOLDER
RESCH, TYLER JAMES	MEMBER
TAUNT, GREGORY BLAKE	MEMBER AND CHIEF COMPLIANCE OFFICER	5507626
NHP DISTRIBUTION HOLDINGS LLC	MEMBER
SHEA, THOMAS EDWARD	FINOP	2299633

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.

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Firm Stability Insights

Thomas E. Shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Edward Shea's CRS (Customer Relationship Summary).

Certified licenses

Experience

CMD GLOBAL PARTNERS, LLC

IHT SECURITIES, LLC

GCG SECURITIES, LLC

IASG ALTERNATIVES, LLC

HK PRIVATE CLIENT, LLC

IASG ALTERNATIVES, LLC

LANDAAS & COMPANY

BRG CAPSTONE CAPITAL ADVISORS

SOUTHERN WEALTH SECURITIES, LLC

STELLAM ADVISORS LLC

BROADWATER ADVISORS, LLC

AHC ADVISORS, INC.

NAJARIAN FAMILY OFFICE, LLC

REBELLION CAPITAL ADVISORS, LLC

PODESTA & CO.

PODESTA & CO.

APEX CLEARING CORPORATION

GH TRADERS LLC

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2015

Series 63

Date: 2/22/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 8/7/2000

Series 7

Date: 12/21/1992

Series 24

Date: 12/16/2015

FINRA

Current Firm

IASG ALTERNATIVES, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

IASG ALTERNATIVES, LLC

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