Joseph E. 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.
Joseph E Shea III, who also goes by Joseph E Shea, Joseph Edward Shea III, Joseph Edward Shea, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 14 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2024 - November 13, 2025
OSAIC INSTITUTIONS, INC.
November 4, 2024 - November 13, 2025
OSAIC INSTITUTIONS, INC.
February 7, 2023 - October 10, 2024
OSAIC INSTITUTIONS, INC.
January 30, 2023 - October 10, 2024
OSAIC INSTITUTIONS, INC.
May 18, 2022 - February 17, 2023
LPL FINANCIAL LLC
May 18, 2022 - February 17, 2023
LPL FINANCIAL LLC
September 20, 2017 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
September 15, 2017 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
October 4, 2016 - September 12, 2017
SANTANDER SECURITIES LLC
September 30, 2016 - September 12, 2017
SANTANDER SECURITIES LLC
December 16, 2013 - September 28, 2016
CUNA BROKERAGE SERVICES, INC.
December 13, 2013 - September 28, 2016
CUNA BROKERAGE SERVICES, INC.
June 1, 2009 - December 10, 2013
MORGAN STANLEY
June 1, 2009 - December 10, 2013
MORGAN STANLEY
August 7, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 7, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 5, 2006 - August 1, 2008
CITIZENS SECURITIES, INC.
November 1, 2005 - August 1, 2008
CITIZENS SECURITIES, INC.
January 7, 2005 - October 11, 2005
1ST GLOBAL CAPITAL CORP.
August 4, 2004 - November 19, 2004
CETERA ADVISORS LLC
July 22, 2004 - November 19, 2004
CETERA ADVISORS LLC
June 17, 2002 - October 22, 2002
FDX ADVISORS, INC.
June 10, 2002 - December 31, 2003
LONDON PACIFIC SECURITIES, INC.
March 28, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
March 28, 2001 - February 6, 2002
VALIC FINANCIAL ADVISORS, INC.
February 11, 2000 - February 13, 2001
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 9 |
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.
