John L. Shea

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CRD#: 3056125

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.

John Link Shea was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1999. John had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 5, 2010 - November 19, 2024

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 110783

PHILADELPHIA, PA

Past

July 18, 2008 - November 19, 2024

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

PHILADELPHIA, PA

Past

February 26, 2002 - July 3, 2006

AMG DISTRIBUTORS, INC.

CRD#: 27314

STAMFORD, CT

Past

May 7, 1999 - April 8, 2005

RORER ASSET MANAGEMENT LLC

RIA

CRD#: 104575

CONSHOHOCKEN, PA

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".

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

CRD#: 110783 / SEC#: 801-27797

RIA

Registered Investment Advisory firm - (8/29/1986 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 4/24/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/29/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/14/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/25/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

CRD#: 110783 / SEC#: 801-27797

RIA

Registered Investment Advisory firm - (8/29/1986 Approved)

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Contact information

Main Address

1735 Market Street Suite 1800, Philadelphia, PA 19103

Mailing Address

Phone number

(215) 609-3500

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC - FORM ADV PART 2A BROCHURE (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,060
AUM (Assets Under Management)	$ 66,447,858,097

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

John L. Shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

AMG DISTRIBUTORS, INC.

RORER ASSET MANAGEMENT LLC

Primary Firm SEC Registration

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/24/2002

SIE

Date: 10/1/2018

Series 3

Date: 5/29/2013

Series 7

Date: 1/14/2009

Series 6

Date: 2/25/2002

Current Firm

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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