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ES

Eric K. Shea

CAPITAL ONE SECURITIES
New York, NY 10171
Some features on this profile are disabled
CRD#: 2944384
ES

Professional summary

Eric Kenning Shea, who also goes by Eric K Shea, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2002. Eric has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric K 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Kenning 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®
None

Experience

Current

December 5, 2018 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 299 Park Avenue 28th Floor, New York, NY 10171
BD
CRD#: 44158
New York, NY
Past

December 10, 2013 - August 16, 2018

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

January 8, 2013 - February 28, 2013

OMNICAP, LLC

BD
CRD#: 137353
NEW YORK, NY
Past

April 16, 2010 - March 9, 2012

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 25, 2002 - January 6, 2010

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(1/10/2023)
RR
Connecticut
(12/5/2018)
RR
Florida
(12/5/2018)
RR
Illinois
(12/5/2018)
RR
Louisiana
(12/5/2018)
RR
Maryland
(12/5/2018)
RR
Massachusetts
(12/5/2018)
RR
New York
(12/5/2018)
RR
Pennsylvania
(12/5/2018)
RR
Texas
(12/5/2018)
RR
Virginia
(12/5/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/31/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CO
CAPITAL ONE SECURITIES, INC.
CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Mailing Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Phone number
(504) 533-7377
Established
Louisiana since 04/01/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE FINANCIAL CORPORATION100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGHDIRECTOR3117394
HALPRIN, GABRIELLE BAILLEUXCHIEF FINANCIAL OPERATIONS OFFICER (FINOP)5087341
JOHNSON, RUSSELL ALANDIRECTOR2785704
KUCERA, DAVID JOHNDIRECTOR2598213
MULLIGAN, ROBERTCHIEF COMPLIANCE OFFICER1584973
NAKAMURA, SEIJI PETERDIRECTOR2561992
PORPHY, JEFFREY RDIRECTOR4107535
TULIP, STEVEN ANDREWPRESIDENT AND DIRECTOR2540149

Disclosures

Regulatory Event3

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

CAPITAL ONE SECURITIES, INC.

CRD#: 44158New York, NY 10171

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