Stephen W. Shea
Professional summary
Stephen William Shea was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Stephen had worked at 3 firms, which includes CHICAGO INVESTMENT GROUP LLC, GRANTA CAPITAL GROUP LLC, THE THORNWATER COMPANY L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2009 - February 20, 2009
CHICAGO INVESTMENT GROUP, LLC
May 13, 2002 - February 3, 2009
GRANTA CAPITAL GROUP LLC
December 21, 1998 - May 14, 2002
THE THORNWATER COMPANY, L.P.
State Registrations and Notice Filings
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Exams
Series 62
Date: 12/18/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
CHICAGO INVESTMENT GROUP, LLC
CRD#: 11853 / SEC#: , 8-27507
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 2 |
Red Flags
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