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Shan Ouyang

Some features on this profile are disabled
CRD#: 6238264
SO

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.

Shan Ouyang was a registered financial professional .

Shan is a previously registered financial professional and started their career in finance in 2013. Shan had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 10, 2015 - June 14, 2018

SHEA & COMPANY

BD
CRD#: 150965
BOSTON, MA
Past

October 6, 2014 - August 13, 2015

CONTRAST CAPITAL MANAGEMENT, LLC

RIA
CRD#: 163534
BOSTON, MA
Past

October 11, 2013 - July 29, 2014

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/2/2014
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/10/2013
Investment Banking Registered Representative Examination

Current Firm

S&
SHEA & COMPANY
SHEA & COMPANY | SHEA & COMPANY, LLC

CRD#: 150965 / SEC#: , 8-68319

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
111 Huntington Avenue Suite 2900, Boston, MA 02199
Mailing Address
111 Huntington Avenue Suite 2900, Boston, MA 02199
Phone number
(617) 896-2247
Established
Massachusetts since 01/25/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SHEA, MICHAEL HARVEY MURRAYMANAGING DIRECTOR, CEO2712976
BARKER, MICHAEL SCOTTMANAGING DIRECTOR2368655
BEATON, DANIEL STEWARTFINOP4240769
FALVEY, PETER MIAHMANAGING DIRECTOR2754289
PINGPANK, CHRISTOPHER JEFFREYMANAGING DIRECTOR, CCO4191045

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

SHEA & COMPANY

CRD#: 150965

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