Christopher J. Shea

BALANZ

Coral Gables, FL 33134

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CRD#: 4204308

Professional summary

Christopher Jason Shea is a registered financial advisor currently at BALANZ located in Coral Gables, Florida and HOLISTIC BROKERAGE, LLC located in Miami, Florida.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) Investment Advisor Representative of Balanz Advisors LLC (an investment-related business) located at 2811 Ponce de Leon Blvd. Suite 710 Coral Gables FL 33134, since Sept. 2023. Mr. Shea splits his time between Holistic Brokerage and Balanz Advisors, and devotes substantially all of his time to these businesses during securities trading hours. 2) Holistic Brokerage. Registered Representative. 20 hours per week. Miami, FL. Mr. Shea splits his time between Holistic Brokerage and Balanz Advisors, and devotes substantially all of his time to these businesses during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Jason Shea's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 7, 2023 - Present

BALANZ

Office #1: 2811 Ponce De Leon Blvd. Suite 710, Coral Gables, FL 33134

RIA

CRD#: 322263

Coral Gables, FL

Current

October 2, 2023 - Present

HOLISTIC BROKERAGE, LLC

Office #1: 800 Brickell Ave Suite 502, Miami, FL 33131

CRD#: 46001

Miami, FL

Past

May 29, 2007 - October 6, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

Miami,, FL

Past

May 29, 2007 - October 6, 2023

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Miami,, FL

Past

March 8, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

NEW YORK, NY

Past

February 22, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

NEW YORK, NY

Past

December 20, 2000 - February 16, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MIAMI, FL

Past

December 20, 2000 - February 16, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 28, 2000 - December 20, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

BALANZ

BALANZ | BALANZ ADVISORS LLC | BALANZ ADVISORS

CRD#: 322263 / SEC#: 801-126818

RIA

Registered Investment Advisory firm - (11/2/2022 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Connecticut
(10/2/2023)

District of Columbia
(8/15/2024)

IAR

Florida
(11/7/2023)

Florida
(3/27/2024)

Georgia
(10/2/2023)

Maryland
(10/2/2023)

New Jersey
(10/2/2023)

IAR

New Jersey
(4/12/2024)

New York
(10/2/2023)

IAR

New York
(4/12/2024)

South Carolina
(10/2/2023)

IAR

South Carolina
(4/12/2024)

Texas
(10/2/2023)

Utah
(10/2/2023)

IAR

Utah
(4/12/2024)

Virgin Islands
(12/6/2023)

Virginia
(3/28/2024)

IAR

Virginia
(4/16/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/9/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/7/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/29/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/27/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BALANZ

BALANZ | BALANZ ADVISORS LLC | BALANZ ADVISORS

CRD#: 322263 / SEC#: 801-126818

RIA

Registered Investment Advisory firm - (11/2/2022 Approved)

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Contact information

Main Address

2811 Ponce De Leon Blvd. Suite 710, Coral Gables, FL 33134

Mailing Address

Phone number

(786) 687-4066

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BALANZ FORM ADV II 3-31-2023 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 165,284,564

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.

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Christopher J. Shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Jason Shea's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOLISTIC BROKERAGE, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

BALANZ

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/2000

Series 63

Date: 8/7/2000

SIE

Date: 10/1/2018

Series 31

Date: 1/29/2001

Series 7

Date: 7/27/2000

FINRA

Current Firm

BALANZ

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALANZ

TRUST BUT VERIFY

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