Daniel C. Shea

WEDBUSH SECURITIES

New York, NY 10019

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CRD#: 5281585

Professional summary

Daniel Connor Shea, who also goes by Dan Shea, is a registered financial professional currently at WEDBUSH SECURITIES INC. located in New York, New York and WEDBUSH & CO., LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 10 firms and has passed the Series 63, Series 82TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Connor 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®

None

Experience

Current

July 7, 2025 - Present

WEDBUSH SECURITIES INC.

Office #1: 142 West 57th Street 12th Floor, New York, NY 10019

RIA

CRD#: 877

New York, NY

Current

July 30, 2025 - Present

WEDBUSH & CO., LLC

Office #1: 142 West 57th Street 12th Floor, New York, NY 10019

CRD#: 328492

New York, NY

Past

August 1, 2019 - June 30, 2025

BTIG, LLC

CRD#: 122225

New York, NY

Past

November 20, 2018 - August 8, 2019

LAMPERT CAPITAL MARKETS INC.

CRD#: 103725

New York, NY

Past

January 24, 2018 - January 2, 2019

ARMORY SECURITIES, LLC

CRD#: 147796

EL SEGUNDO, CA

Past

July 13, 2016 - October 4, 2017

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

May 5, 2015 - June 30, 2016

CRT CAPITAL GROUP LLC

CRD#: 28830

STAMFORD, CT

Past

April 9, 2010 - April 22, 2015

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

NEW YORK, NY

Past

August 4, 2008 - April 22, 2010

RABO SECURITIES USA, INC.

CRD#: 122657

NEW YORK, NY

Past

April 18, 2007 - March 27, 2008

THE SILVERFERN GROUP, INC.

CRD#: 119266

GREENWICH, CT

State Registrations and Notice Filings

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

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

Arizona
(7/7/2025)

California
(7/7/2025)

Colorado
(7/7/2025)

Connecticut
(7/7/2025)

Florida
(7/7/2025)

Illinois
(7/7/2025)

Maryland
(7/7/2025)

Massachusetts
(7/7/2025)

Michigan
(7/30/2025)

Minnesota
(7/30/2025)

New Jersey
(7/7/2025)

New York
(7/7/2025)

North Carolina
(7/8/2025)

Pennsylvania
(7/7/2025)

Texas
(7/7/2025)

Utah
(7/7/2025)

Virginia
(7/7/2025)

Washington
(7/7/2025)

Exams

State Security Law Exam

Series 63

Date: 6/4/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 7/21/2025

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/2025

General Securities Principal Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

WEDBUSH & CO., LLC

CRD#: 328492 / SEC#: , 8-71158

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

142 West 57th Street 12th Floor, New York, NY, 10019

Mailing Address

142 West 57th Street 12th Floor, New York, NY, 10019

Phone number

(212) 931-7088

Established

Delaware since 06/23/2021

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (20 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
WEDBUSH FINANCIAL SERVICES, LLC	SOLE MEMBER
BILLINGS, DANIEL ERIC	MANAGER	4568232
BULGER, MARK ANDREW	CCO	5063497
DEMPSEY, FRANCIS BURKE	PRESIDENT	2428325
DRUCH, ANDREW WALTER	MANAGER AND GENERAL COUNSEL	1688071
HULTGREN, DONALD WAYNE	MANAGER	1475369
KIRKMAN, SAMANTHA	CFO, PFO, COO & POO	6892438
WEDBUSH, GARY LANCE	MANAGER	2234455

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

Daniel C. Shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Connor Shea's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEDBUSH & CO., LLC

BTIG, LLC

LAMPERT CAPITAL MARKETS INC.

ARMORY SECURITIES, LLC

CANACCORD GENUITY LLC

CRT CAPITAL GROUP LLC

JANNEY MONTGOMERY SCOTT LLC

RABO SECURITIES USA, INC.

THE SILVERFERN GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/4/2007

Series 82TO

Date: 7/21/2025

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/17/2007

Series 24

Date: 9/25/2025

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

MEMX LLC

MIAX PEARL, LLC

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq MRX, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

WEDBUSH & CO., LLC

Contact information

FINRA licenses (20 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

WEDBUSH & CO., LLC

TRUST BUT VERIFY

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