PS
Patrick A. Shea
FOCUSED WEALTH MANAGEMENT
Newburgh, NY 12550-1911
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CRD#: 7658762
PS
Professional summary
Patrick Andrew Shea is a registered financial advisor currently at FOCUSED WEALTH MANAGEMENT, INC. located in Newburgh, New York and OSAIC WEALTH, INC. located in Newburgh, New York.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Patrick has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) 3/2023 Focused Wealth Management, Inc.; Investment Advisory Firm; Administrative Associate; 1/2024 Investment Adviser Representative; Investment Related; Newburgh, NY 12550; 160 hours/month; 8 hours during trading hours; administrative and clerical duties/servicing plan participants and clients by providing investment advice. (2) 1/2024 Independent Licensed insurance Agent; Investment Related; New York; Type of insurance sold: Life, Accident and Health Insurance. (3) WARWICK VALLEY COUNTRY CLUB GOLF AND GREENS COMMITTEE POSITION: Volunteer member NATURE: VOLUNTEER MEMBER ON GOLF AND GREENS COMITTEE AT WARWICK VALLEY COUNTRY CLUB INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/24/2023 ADDRESS: 42 Oakland Ave, Warwick NY 10990 DESCRIPTION: Volunteer on the golf and greens committee to help plan club events and assist on course updates and maintenance of the course.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Andrew 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®
NoneExperience
Current
January 22, 2024 - Present
FOCUSED WEALTH MANAGEMENT, INC.
Office #1: 11 Balmville Rd. Suite 2 North, Newburgh, NY 12550-1911RIA
CRD#: 154828
Newburgh, NY
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 11 Balmville Rd Ste 2 North, Newburgh, NY 12550RIA
BD
CRD#: 23131
NEWBURGH, NY
Past
July 21, 2023 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
NEWBURGH, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FW
FOCUSED WEALTH MANAGEMENT, INC.
FOCUSED WEALTH MANAGEMENT, INC.
CRD#: 154828 / SEC#: 801-71860
RIA
Registered Investment Advisory firm - (11/5/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
New York(1/22/2024)
RR
New York(6/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/21/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FW
FOCUSED WEALTH MANAGEMENT, INC.
FOCUSED WEALTH MANAGEMENT, INC.
CRD#: 154828 / SEC#: 801-71860
RIA
Registered Investment Advisory firm - (11/5/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11 Balmville Rd. Suite 2 North, Newburgh, NY 12550-1911
Mailing Address
Phone number
(845) 691-4035
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,215 |
| AUM (Assets Under Management) | $ 1,890,919,902 |
Red Flags
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Company Information
FOCUSED WEALTH MANAGEMENT, INC.
CRD#: 154828Newburgh, NY 12550-1911TRUST BUT VERIFY
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