Joseph B. Shea

HORIZON FAMILY WEALTH

Chicago, IL 60606

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CRD#: 2726131

Professional summary

Joseph Blane Shea IV, CPWA®, who also goes by Joseph W Blane Shea, Joseph Blane Slea, is a registered financial advisor currently at HORIZON FAMILY WEALTH, INC. located in Chicago, Illinois.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Joseph has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph W Blane Shea | Joseph Blane Slea

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. 10/01/2013 - Shea Financial Group Inc. - INV REL - Business Entity For Tax/Investment Purposes Only - 0 NOT TIME SPENT - Shell account for tax purposes. 2. J111 National Racing Class; Not Investment Related; 1604 Ventana Dr., Ruskin, FL, 33523; Non-Profit Sailboat Racing Group; Vice President; December 2024 Start Date; 2 hours spent on this OBA per month; 0 hours spent during securities trading hours; Continued Growth of the Class.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Blane Shea IV'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®

CPWA^®

Certified Private Wealth Advisor

Start date: 2017-11-06

Expire date: 2023-10-31

Experience

Current

September 1, 2021 - Present

HORIZON FAMILY WEALTH, INC.

Office #1: 250 South Wacker Drive Suite 220, Chicago, IL 60606

RIA

CRD#: 315484

Chicago, IL

Past

November 12, 2013 - February 2, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHICAGO, IL

Past

October 3, 2013 - October 27, 2021

RIVERPOINT WEALTH MANAGEMENT

RIA

CRD#: 168346

CHICAGO, IL

Past

October 1, 2013 - October 5, 2020

LPL FINANCIAL LLC

CRD#: 6413

CHICAGO, IL

Past

January 2, 2009 - October 2, 2013

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CHICAGO, IL

Past

March 23, 2004 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

GLENVIEW, IL

Past

March 19, 2004 - October 2, 2013

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GLENVIEW, IL

Past

August 26, 1999 - March 24, 2004

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CHICAGO, FL

Past

March 17, 1999 - March 24, 2004

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

February 1, 1999 - April 5, 1999

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

February 6, 1997 - February 1, 1999

WINGSPAN INVESTMENT SERVICES

CRD#: 17516

CHICAGO, IL

Past

August 22, 1996 - January 24, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

HORIZON FAMILY WEALTH, INC.

CRD#: 315484 / SEC#: 801-122217

RIA

Registered Investment Advisory firm - (9/1/2021 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(9/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/20/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/10/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/21/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/17/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/5/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

HORIZON FAMILY WEALTH, INC.

CRD#: 315484 / SEC#: 801-122217

RIA

Registered Investment Advisory firm - (9/1/2021 Approved)

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Contact information

Main Address

250 South Wacker Drive Suite 220, Chicago, IL 60606

Mailing Address

Phone number

(312) 442-9192

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	425
AUM (Assets Under Management)	$ 279,654,348

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Joseph B. Shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Blane Shea IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

RIVERPOINT WEALTH MANAGEMENT

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

BANC ONE SECURITIES CORPORATION

WINGSPAN INVESTMENT SERVICES

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HORIZON FAMILY WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/20/1996

Series 63

Date: 9/10/1996

SIE

Date: 10/1/2018

Series 31

Date: 12/10/2003

Series 7

Date: 8/21/1996

Series 10

Date: 6/17/2004

Series 9

Date: 5/5/2004

Current Firm

HORIZON FAMILY WEALTH, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORIZON FAMILY WEALTH, INC.

TRUST BUT VERIFY

Contact information

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