AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JS

Joseph B. Shea

HORIZON FAMILY WEALTH
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2726131
JS

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.
The advisor shows no other business activity.

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

BD
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.

BD
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.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

February 1, 1999 - April 5, 1999

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

February 6, 1997 - February 1, 1999

WINGSPAN INVESTMENT SERVICES

BD
CRD#: 17516
CHICAGO, IL
Past

August 22, 1996 - January 24, 1997

MORGAN STANLEY DW INC.

BD
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".
HF
HORIZON FAMILY WEALTH, INC.
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/20/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/10/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/10/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/17/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/5/2004
General Securities Sales Supervisor - Options Module Examination

Current Firm

HF
HORIZON FAMILY WEALTH, INC.
HORIZON FAMILY WEALTH, INC.

CRD#: 315484 / SEC#: 801-122217

RIA
Registered Investment Advisory firm - (9/1/2021 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
2

SEC notice filing (5 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

FORM ADV 2A (3/20/2026)

Regulatory assets under management

Total Number of Accounts418
AUM (Assets Under Management)$ 278,813,453

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

HORIZON FAMILY WEALTH, INC.

CRD#: 315484Chicago, IL 60606

TRUST BUT VERIFY

Monitor Joseph Shea

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.