CS
Christopher D. Shea
VALIC FINANCIAL ADVISORS
WAKEFIELD, MA 01880
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CRD#: 4696255
CS
Professional summary
Christopher David Shea, who also goes by Christopher Shea, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Wakefield, Massachusetts.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Christopher has worked at 15 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Shea
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.
AGIA POSITION: Agent NATURE: Non-Securities Insurance Products INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 08/07/2024 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Appointed as agent to sell Non-Securities Insurance products for AGIA FC SOCIAL - PELAGIC SAILING CLUB POSITION: FC Social NATURE: I organize monthly speakers for the club on topics of sailing. The goal is to help members engage monthly and also drive potential new members to the club. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 400 Morrissey Blvd, Dorchester MA 02125, United States DESCRIPTION: Call people to present and then assist in the organization of the presentation.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher David Shea's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher David 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
September 16, 2024 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 301 Edgewater Place Suite 100, Wakefield, MA 01880RIA
BD
CRD#: 42803
WAKEFIELD, MA
Current
August 19, 2024 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 301 Edgewater Place Suite 100, Wakefield, MA 01880RIA
BD
CRD#: 42803
WAKEFIELD, MA
Past
June 29, 2023 - August 7, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LOUDONVILLE, NY
Past
April 22, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LOUDONVILLE, NY
Past
April 15, 2020 - August 7, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LOUDONVILLE, NY
Past
April 22, 2019 - December 5, 2019
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
QUINCY, MA
Past
November 18, 2015 - December 16, 2016
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
BOSTON, MA
Past
November 17, 2015 - December 16, 2016
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
BOSTON, MA
Past
September 9, 2015 - November 2, 2015
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
el segundo, CA
Past
September 9, 2015 - November 2, 2015
GIRARD SECURITIES, INC.
BD
CRD#: 18697
EL SEGUNDO, CA
Past
August 20, 2015 - November 2, 2015
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 3, 2015 - November 2, 2015
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
EL SEGUNDO, CA
Past
August 3, 2015 - November 2, 2015
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
El Segundo, CA
Past
August 3, 2015 - November 2, 2015
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
EL SEGUNDO, CA
Past
August 3, 2015 - November 2, 2015
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
El Segundo, CA
Past
August 3, 2015 - November 2, 2015
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
EL SEGUNDO, CA
Past
August 3, 2015 - November 2, 2015
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
EL SEGUNDO, CA
Past
August 3, 2015 - November 2, 2015
CETERA ADVISORS LLC
BD
CRD#: 10299
EL SEGUNDO, CA
Past
July 28, 2015 - November 2, 2015
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
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".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.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(5/7/2025)
IAR
Arizona(5/13/2025)
RR
Florida(2/10/2025)
IAR
Florida(2/11/2025)
RR
Massachusetts(8/19/2024)
IAR
Massachusetts(9/16/2024)
RR
New Hampshire(9/18/2024)
IAR
New Hampshire(9/19/2024)
RR
Rhode Island(9/18/2024)
IAR
Rhode Island(9/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/22/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
Company Information
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803Wakefield, MA 01880TRUST BUT VERIFY
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