Christopher M. Shea

WEALTHPLAN INVESTMENT MANAGEMENT LLC

Old Greenwich, CT

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CRD#: 4244023

Professional summary

Christopher Maxime Shea is a registered financial advisor currently at WEALTHPLAN INVESTMENT MANAGEMENT LLC located in Old Greenwich, Connecticut.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Christopher has worked at 10 firms and has passed the Series 66 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.) SHEA, LLC; NOT INVESTMENT RELATED; (PRIVATE RESIDENCE) OLD GREENWICH, CONNECTICUT; HOLDING COMPANY; OWNER; JUNE 23, 2014 START DATE; APPROXIMATELY 0 HOURS/MONTH DEVOTED; 0 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; ALL DUTIES OF AN OWNER. _____ | _____

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Maxime 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

October 15, 2024 - Present

WEALTHPLAN INVESTMENT MANAGEMENT LLC

RIA

CRD#: 311364

Old Greenwich, CT

Past

June 10, 2019 - June 7, 2024

WEALTHSOURCE®

RIA

CRD#: 282202

OLD GREENWICH, CT

Past

January 13, 2017 - December 31, 2018

CATAMETRICS MANAGEMENT, LLC

RIA

CRD#: 172584

WESTPORT, CT

Past

September 5, 2014 - December 31, 2016

CATAMETRICS MANAGEMENT, LLC

RIA

CRD#: 172584

WESTPORT, CT

Past

February 13, 2012 - September 10, 2014

LPL FINANCIAL LLC

CRD#: 6413

BRAINTREE, MA

Past

January 12, 2012 - August 19, 2014

U.S. FINANCIAL ADVISORS

RIA

CRD#: 108763

BRAINTREE, MA

Past

October 29, 2007 - January 19, 2012

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

January 9, 2006 - October 25, 2007

U.S. WEALTH ADVISORS, LLC.

CRD#: 126924

BRAINTREE, MA

Past

October 31, 2005 - December 31, 2005

OSAIC SERVICES, INC.

CRD#: 133763

BRAINTREE, MA

Past

December 18, 2001 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

May 3, 2001 - October 26, 2007

U.S. FINANCIAL ADVISORS

RIA

CRD#: 108763

BRAINTREE, MA

Past

November 8, 2000 - December 20, 2001

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

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".

WEALTHPLAN INVESTMENT MANAGEMENT LLC

CRD#: 311364 / SEC#: 801-120004

RIA

Registered Investment Advisory firm - (12/18/2020 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(10/15/2024)

IAR

Nebraska
(10/15/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/2/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/7/2000

General Securities Representative Examination

Current Firm

WEALTHPLAN INVESTMENT MANAGEMENT LLC

CRD#: 311364 / SEC#: 801-120004

RIA

Registered Investment Advisory firm - (12/18/2020 Approved)

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Contact information

Main Address

101 S 108th Ave 3rd Floor, Omaha, NE 68154

Mailing Address

Phone number

(402) 691-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	3,957
AUM (Assets Under Management)	$ 1,574,375,590

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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Advisor Monitoring

Firm Stability Insights

Christopher M. Shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WEALTHSOURCE®

CATAMETRICS MANAGEMENT, LLC

CATAMETRICS MANAGEMENT, LLC

LPL FINANCIAL LLC

U.S. FINANCIAL ADVISORS

GOLDMAN SACHS & CO. LLC

U.S. WEALTH ADVISORS, LLC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

U.S. FINANCIAL ADVISORS

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

WEALTHPLAN INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/2/2001

Series 7

Date: 11/7/2000

Current Firm

WEALTHPLAN INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHPLAN INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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