MS
Michael P. Shea
MONROE FINANCIAL PARTNERS
Saint Charles, IL
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CRD#: 4162645
MS
Professional summary
Michael Patrick Shea is a registered financial professional currently at MONROE FINANCIAL PARTNERS, INC. located in Saint Charles, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 1 firm and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Patrick 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®
NoneExperience
Current
May 9, 2000 - Present
MONROE FINANCIAL PARTNERS, INC.
Office #2: 500 W. Madison Suite 450, Chicago, IL 60661BD
CRD#: 2811
Saint Charles, IL
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
Arizona(11/14/2017)
RR
California(7/10/2006)
RR
Colorado(11/14/2017)
RR
Florida(3/12/2008)
RR
Georgia(11/14/2017)
RR
Illinois(5/6/2003)
RR
Indiana(5/18/2017)
RR
Iowa(5/23/2019)
RR
Kentucky(9/24/2024)
RR
Louisiana(11/14/2017)
RR
Massachusetts(7/23/2015)
RR
Michigan(11/7/2018)
RR
Minnesota(11/14/2017)
RR
Nevada(5/20/2014)
RR
New York(8/13/2001)
RR
North Carolina(4/10/2008)
RR
Oregon(11/14/2017)
RR
Pennsylvania(9/2/2011)
RR
Texas(11/14/2017)
RR
Virginia(11/14/2017)
RR
Wisconsin(11/8/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/28/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MONROE FINANCIAL PARTNERS, INC.
MONROE FINANCIAL PARTNERS, INC. | MONROE SECURITIES, INC.
CRD#: 2811 / SEC#: , 8-14045
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
500 W. Madison, Suite 450, Chicago, IL 60661
Mailing Address
500 W. Madison, Suite 450, Chicago, IL 60661
Phone number
(312) 521-1000
Established
New York since 07/18/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (23 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PT FINANCIAL COMPANIES, LLC | MANAGING MEMBER | |
| BURESH, ADAM COULTER | BOARD MEMBER | 5216617 |
| DILASCIA, DARYLE ANTHONY | PRESIDENT/BOARD MEMBER | 2793078 |
| DOCHERTY, JENNIFER ANN | GENERAL COUNSEL | 4587223 |
| GAZDA, RYAN M | TREASURER, CFO & BOARD MEMBER | 4230980 |
| LOVE, KRISTIN M | SECRETARY, CCO & BOARD MEMBER | 4370951 |
| MCCRARY, TIMOTHY JAMES | HEAD OF TRADING/BOARD MEMBER | 5789747 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
