Brian P. 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.
Brian Patrick Shea was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2006. Brian had worked at 6 firms and has passed the Series 66, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2016 - September 30, 2022
BERNARDI SECURITIES, INC.
July 19, 2010 - October 5, 2011
AVANTAX INVESTMENT SERVICES, INC.
June 8, 2010 - January 6, 2011
WELLS FARGO INVESTMENTS, LLC
June 4, 2010 - May 12, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2010 - May 12, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2010 - May 12, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 1, 2008 - August 18, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 15, 2006 - January 3, 2008
A. G. EDWARDS & SONS, 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
Current Firm
BERNARDI SECURITIES, INC.
CRD#: 15834 / SEC#: , 8-32815
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BERNARDI, RONALD PIACENTINI | PRESIDENT & CEO & CCO | 726070 |
| BERNARDI, MATTHEW P | VICE PRESIDENT | 5545410 |
| BERNARDI, THOMAS P | VICE PRESIDENT | 6419579 |
| BIONDI, ROBERT | VICE PRESIDENT | 716281 |
| LANDIS, MICHELLE BERNARDI | SECRETARY | 1328867 |
| BERNARDI, EDWARD | CHAIRMAN OF THE BOARD | 19817 |
| EVENSKY, LISA M | FINANCIAL OPERATIONS PRINCIPAL | 6373192 |
| IRISH, JEFFREY DAVID | VICE PRESIDENT | 2228055 |
| VAIL, ROBERT PATRICK | SENIOR VICE PRESIDENT | 3086104 |
| VEZZETTI, JOHN M | VICE PRESIDENT | 5736210 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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