CS
Christopher M. Shea
ROCKEFELLER FINANCIAL
Paramus, NJ 07652
Some features on this profile are disabled
CRD#: 2381031
CS
Professional summary
Christopher Michael Shea, who also goes by Chris Shea, Christopher Michael Shea, Christopher M Shea, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Paramus, New Jersey.
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 8 firms and has passed the Series 66, Series 63, Series 87, SIE, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Shea | Christopher Michael Shea | Christopher M 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.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Michael Shea's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher 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 6, 2026 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 115 West Century Road, Paramus, NJ 07652RIA
BD
CRD#: 291361
Paramus, NJ
Current
April 6, 2026 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 115 West Century Road, Paramus, NJ 07652RIA
BD
CRD#: 291361
Paramus, NJ
Past
August 24, 2020 - February 26, 2026
UBS ASSET MANAGEMENT (AMERICAS) LLC
RIA
CRD#: 106838
New York, NY
Past
July 17, 2020 - February 26, 2026
UBS ASSET MANAGEMENT (US) INC.
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".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Alabama(4/6/2026)
RR
Arizona(4/6/2026)
RR
California(4/6/2026)
RR
Colorado(4/6/2026)
RR
Connecticut(4/6/2026)
RR
District of Columbia(4/6/2026)
RR
Florida(4/6/2026)
RR
Georgia(4/6/2026)
RR
Illinois(4/6/2026)
RR
Indiana(4/6/2026)
RR
Iowa(4/6/2026)
RR
Kansas(4/6/2026)
RR
Kentucky(4/6/2026)
RR
Louisiana(4/6/2026)
RR
Maine(4/6/2026)
RR
Maryland(4/6/2026)
RR
Massachusetts(4/6/2026)
RR
Michigan(4/6/2026)
RR
Minnesota(4/6/2026)
RR
Mississippi(4/6/2026)
RR
Missouri(4/6/2026)
RR
Nevada(4/6/2026)
RR
New Hampshire(4/6/2026)
RR
New Jersey(4/6/2026)
IAR
New Jersey(4/8/2026)
RR
New York(4/6/2026)
RR
North Carolina(4/6/2026)
RR
Ohio(4/7/2026)
RR
Pennsylvania(4/6/2026)
RR
Rhode Island(4/6/2026)
RR
South Carolina(4/6/2026)
RR
South Dakota(4/6/2026)
RR
Tennessee(4/6/2026)
RR
Texas(4/6/2026)
IAR
Texas(4/6/2026)
RR
Utah(4/6/2026)
RR
Virginia(4/6/2026)
RR
Washington(4/6/2026)
RR
Wisconsin(4/6/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
