Stephen Fitzgerald Shea
Professional Summary
Stephen Fitzgerald Shea, who also goes by Stephen F Shea, was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1999 - 2017. Stephen had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen F Shea
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
27 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
ARETE WEALTH MANAGEMENT, LLC | KEYSTONE SECURITIES, LLC. | KEYSTONE SECURITIES, LLC | KEYSTONE INVESTMENT ADVISORS, LLC
Contact Information
Main Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607Mailing Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607Phone Number
(312) 940-3684Established
Illinois since 01/20/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | — |
| CUCHARALE, CATHERINE | CHIEF COMPLIANCE OFFICER | 3054881 |
| LEVINE, DAVID CHARLES | CHIEF EXECUTIVE OFFICER | — |
| PARE, MONTEJAR DIMALANTA | MUNICIPAL SECURITIES PRINCIPAL | 2731190 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL / AML COMPLIANCE OFFICER | 6252596 |
| TROUSDALE, LAUREN NICOLE | FINANCIAL OPERATIONS PRINCIPAL | 5622407 |
Disclosures
Regulatory Event
2Civil Event
1Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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