Robert S. 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.
Robert Stephen Shea was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1964. Robert had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2002 - September 16, 2013
AMERICAN PORTFOLIO SERVICES, LLC
February 25, 1988 - March 20, 1991
GRUNTAL & CO., L.L.C.
September 30, 1985 - March 7, 1988
ADVEST, INC.
February 1, 1985 - September 30, 1985
BURGESS & LEITH INCORPORATED
August 6, 1974 - January 31, 1985
ADVEST, INC.
October 3, 1972 - August 26, 1974
LEGG MASON WOOD WALKER, INCORPORATED
September 24, 1964 - November 5, 1972
W. E. HUTTON & CO.
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 11/16/1960
Registered Representative ExaminationCurrent Firm
AMERICAN PORTFOLIO SERVICES, LLC
CRD#: 144531 / SEC#:
Contact information
Red Flags
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