Cecilia M. Shea
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cecilia Marie Shea, who also goes by Cecilia Marie Holland, was a registered financial professional .
Cecilia is a previously registered financial professional and started their career in finance in 2004. Cecilia had worked at 6 firms and has passed the Series 63, Series 79, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2014 - June 20, 2014
GORDIAN INVESTMENTS, LLC
July 2, 2012 - September 9, 2013
KBR CAPITAL MARKETS, LLC
February 1, 2012 - April 16, 2012
KROLL SECURITIES LLC
June 22, 2011 - April 16, 2012
PAGEMILL PARTNERS, LLC
October 21, 2010 - May 27, 2011
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
March 27, 2008 - May 24, 2010
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
June 2, 2004 - March 3, 2008
SVB ALLIANT
January 26, 2004 - October 13, 2004
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
GORDIAN INVESTMENTS, LLC
CRD#: 158611 / SEC#: , 8-68911
Contact information
Documents
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.
