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WB

William R. Broughton

SHEA & COMPANY
BOSTON, MA 02199
Some features on this profile are disabled
CRD#: 6530136
WB

Professional summary

William Richard Broughton is a registered financial professional currently at SHEA & COMPANY located in Boston, Massachusetts.

William is registered as a RR (Registered Representative) and started their career in finance in 2017. William has worked at 2 firms and has passed the Series 63, 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) - BD

Click below to view William Richard Broughton'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

June 15, 2018 - Present

SHEA & COMPANY

Office #1: 111 Huntington Avenue Suite 2900, Boston, MA 02199
BD
CRD#: 150965
BOSTON, MA
Past

May 23, 2017 - May 17, 2018

AGC PARTNERS

BD
CRD#: 125958
BOSTON, MA

State Registrations and Notice Filings

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

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
Massachusetts
(1/10/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/23/2017
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

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#: 150965Boston, MA 02199

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