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CS

Christopher M. Shea

UBS ASSET MANAGEMENT (AMERICAS) LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 2381031
CS

Professional summary

Christopher M Shea, who also goes by Chris Shea, Christopher Michael Shea, is a registered financial advisor currently at UBS ASSET MANAGEMENT (AMERICAS) LLC located in New York, New York and UBS ASSET MANAGEMENT (US) INC. located in New York, New York.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Christopher has worked at 7 firms and has passed the Series 66, Series 63, Series 87, SIE, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chris Shea | Christopher Michael 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher M 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

August 24, 2020 - Present

UBS ASSET MANAGEMENT (AMERICAS) LLC

Office #1: 787 Seventh Avenue 12th Floor, New York, NY 10019
RIA
CRD#: 106838
New York, NY
Current

July 17, 2020 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 787 7th Avenue, New York, NY 10019
BD
CRD#: 583
New York, NY
Past

June 13, 2006 - July 20, 2020

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

June 2, 2003 - July 20, 2020

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

July 26, 2000 - August 12, 2002

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

October 20, 1997 - June 22, 1998

BLACK & COMPANY, INC.

BD
CRD#: 95
PORTLAND, OR
Past

January 10, 1994 - October 14, 1997

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

October 5, 1993 - December 22, 1993

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY

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".
UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC

CRD#: 106838 / SEC#: 801-34910

RIA
Registered Investment Advisory firm - (9/11/1989 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

IAR
New Jersey
(8/24/2020)
RR
New York
(7/17/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/8/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 3/28/2019
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC

CRD#: 106838 / SEC#: 801-34910

RIA
Registered Investment Advisory firm - (9/11/1989 Approved)
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Contact information

Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
Phone number
(212) 713-2000
Established
Firm type
Fiscal year end
# of Employees
792

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

UBS AM (AMERICAS) LLC - UGA FORM ADV PART 2A (7/1/2025)
UBS AM (AMERICAS) LLC - O'CONNOR FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - GRA AMERICAS FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - UBS AM FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - CIG FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts399,225
AUM (Assets Under Management)$ 542,245,991,275

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report

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

UBS ASSET MANAGEMENT (AMERICAS) LLC

CRD#: 106838New York, NY 10019

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