Stephen F. 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.
Stephen Fitzgerald Shea, who also goes by Stephen F Shea, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2016 - August 16, 2017
ARETE WEALTH MANAGEMENT, LLC
February 11, 2015 - April 4, 2016
PENSERRA SECURITIES, LLC
September 24, 2012 - September 30, 2014
GORDIAN INVESTMENTS, LLC
March 23, 2012 - September 4, 2012
INTERNET SECURITIES
January 23, 2012 - March 16, 2012
WHITE PACIFIC SECURITIES, INC.
October 14, 2009 - July 8, 2010
JESUP & LAMONT SECURITIES CORP
March 20, 2009 - August 25, 2009
WINDFALL SECURITIES LLC
June 16, 2006 - April 12, 2007
FIDELITY BROKERAGE SERVICES LLC
January 13, 2001 - March 7, 2001
DEUTSCHE BANK SECURITIES INC.
December 20, 1999 - January 13, 2001
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
