Timothy Francis Shanahan
Professional Summary
Timothy Francis Shanahan, who also goes by Tim Shanahan, is a registered financial advisor currently at COMPASS CAPITAL CORPORATION located in Braintree, Massachusetts and COMPASS SECURITIES CORPORATION located in Braintree, Massachusetts. Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Timothy has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tim Shanahan
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
CHADWICK & ROTHENBERG GROUP LLC | STRATEGIC PLANNING INC | LICCIARDELLO FINANCIAL SERVICES | COMPASS CAPITAL CORPORATION
Contact Information
Main Address
50 Braintree Hill Office Park Suite 105, Braintree, MA 02184-8734Phone Number
(781) 535-6083# of Employees
13SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,318AUM (Assets Under Management)
$695,480,382Similar Advisors
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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.
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Primary Firm SEC Registration
CHADWICK & ROTHENBERG GROUP LLC | STRATEGIC PLANNING INC | LICCIARDELLO FINANCIAL SERVICES | COMPASS CAPITAL CORPORATION
State Registrations and Notice Filings
(3/23/2015)
(3/6/2015)
(5/14/1994)
(3/6/2015)
(11/14/2016)
(1/31/2018)
(11/14/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Timothy Francis Shanahan's CRS (Customer Relationship Summary).
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