Patrick O. Shea
Professional summary
Patrick Ofarrell Shea is a registered financial professional currently at BRADLEY WOODS & CO. LTD. located in New York, New York and N.A. INVESTCORP LLC located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1977. Patrick has worked at 16 firms and has passed the Series 66, Series 65, Series 63, Series 79TO, Series 57TO, Series 99TO, SIE, Series 87, Series 55, Series 5, Series 7, Series 10, Series 14, Series 9, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Ofarrell Shea's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 11, 2020 - Present
BRADLEY WOODS & CO. LTD.
Office #1: 845 Third Ave, Suite 1703, New York, NY 10022October 24, 2024 - Present
N.A. INVESTCORP LLC
Office #1: 280 Park Avenue 39th Floor, New York, NY, 10017Office #2: 280 Park Avenue 39th Floor, New York, NY, 10017January 25, 2023 - July 5, 2023
N.A. INVESTCORP LLC
June 29, 2022 - October 16, 2023
SIDOTI & COMPANY, LLC
May 20, 2022 - March 21, 2023
MIDDLEMARCH SECURITIES LLC
May 1, 2020 - September 1, 2021
GRAFINE CAPITAL PARTNERS LLC
February 25, 2013 - September 4, 2013
MILLCO ADVISORS, LP
August 25, 2011 - May 31, 2013
BRAVER STERN SECURITIES LLC
August 18, 2011 - January 6, 2020
CLARKSONS SECURITIES, INC
December 17, 2009 - August 1, 2013
N.A. INVESTCORP LLC
September 11, 2009 - May 3, 2010
UNION FINANCIAL CORP.
August 13, 2009 - February 18, 2010
MEREDITH WHITNEY SECURITIES, LLC
November 13, 2007 - March 3, 2009
KABRIK TRADING LLC
January 6, 2003 - December 13, 2005
PRECURSOR ADVISORS
January 18, 2001 - December 13, 2005
THE PRECURSOR GROUP BROKER-DEALER, LLC
August 15, 1994 - April 26, 1999
UBS FINANCIAL SERVICES INC.
October 23, 1989 - August 24, 1994
CITIGROUP GLOBAL MARKETS INC.
April 30, 1985 - November 16, 1989
KIDDER, PEABODY & CO. INCORPORATED
June 1, 1977 - May 24, 1985
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/11/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/13/2004
Limited Representative-Equity Trader ExamSeries 5
Date: 11/13/1981
Interest Rate Options ExaminationSeries 8
Date: 5/28/1982
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
N.A. INVESTCORP LLC
CRD#: 134162 / SEC#: , 8-66812
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTCORP INTERNATIONAL HOLDINGS, INC. | SHAREHOLDER | |
| GOLDCHAIN, SCOTT DAVID | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3276936 |
| MURPHY, BRIAN JOSEPH | SECRETARY | 1720020 |
| QASIMI, SAMI | CHIEF COMPLIANCE OFFICER | 5640450 |
| SHEA, PATRICK OFARRELL | HEAD OF INVESTMENT BANKING, FINANCIAL AND OPERATIONAL PRINCIPAL | 838154 |
Red Flags
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