Peter W. 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.
Peter William Shea, who also goes by Pete Shea, was a registered financial advisor .
Peter is a previously registered financial advisor and started their career in finance in 1970. Peter had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2012 - October 21, 2015
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
February 18, 2010 - January 12, 2012
LIBERTY GROUP, LLC
February 10, 2010 - January 12, 2012
LIBERTY GROUP, LLC
December 8, 2006 - January 6, 2010
TORREY PINES SECURITIES, INC.
December 8, 2006 - January 6, 2010
TORREY PINES SECURITIES, INC.
March 18, 2004 - December 18, 2006
1ST DISCOUNT BROKERAGE, INC.
August 21, 2002 - December 18, 2006
1ST DISCOUNT BROKERAGE, INC.
February 10, 1992 - August 21, 2002
ACUMENT SECURITIES, INC.
March 27, 1989 - October 21, 1991
LASALLE ST SECURITIES, L.L.C.
November 18, 1985 - September 6, 1989
DICKINSON & CO.
October 12, 1983 - December 6, 1985
SUTRO & CO. INCORPORATED
July 16, 1979 - October 4, 1983
DAVIS, SKAGGS & CO., INC.
August 31, 1977 - June 18, 1979
SHUMAN, AGNEW & CO., INC.
August 6, 1974 - August 16, 1977
SHUMAN, AGNEW & CO., INC.
July 18, 1972 - August 24, 1974
REYNOLDS SECURITIES, INC.
April 7, 1970 - August 23, 1972
BRUSH SLOCUMB & CO INC
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
Series 15
Date: 12/2/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/9/1981
Interest Rate Options ExaminationSeries 000
Date: 3/19/1970
General Securities Principal ExaminationSeries 1
Date: 3/19/1970
Registered Representative ExaminationSeries 40
Date: 7/3/1975
Registered Principal ExaminationCurrent Firm
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
