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PS

Patrick O. Shea

N.A. INVEST
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 838154
PS
Patrick Ofarrell SheaN.A. INVEST

Professional summary

Patrick Ofarrell Shea is a registered financial professional currently at N.A. INVESTCORP LLC located in New York, New York and HILL SECURITIES LLC located in San Francisco, California.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1977. Patrick has worked at 17 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.

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

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CRS (Client Relationship Summary) - BD

Click below to view Patrick Ofarrell 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®
None

Experience

Current

October 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, 10017
BD
CRD#: 134162
NEW YORK, NY
Current

June 15, 2026 - Present

HILL SECURITIES LLC

Office #1: 501 2nd St, Suite 575, San Francisco, CA 94107
BD
CRD#: 338653
SAN FRANCISCO, CA
Past

January 25, 2023 - July 5, 2023

N.A. INVESTCORP LLC

BD
CRD#: 134162
NEW YORK, NY
Past

June 29, 2022 - October 16, 2023

SIDOTI & COMPANY, LLC

BD
CRD#: 102860
NEW YORK, NY
Past

May 20, 2022 - March 21, 2023

MIDDLEMARCH SECURITIES LLC

BD
CRD#: 283508
STAMFORD, CT
Past

May 1, 2020 - September 1, 2021

GRAFINE CAPITAL PARTNERS LLC

BD
CRD#: 302046
New York, NY
Past

April 11, 2020 - July 9, 2026

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

February 25, 2013 - September 4, 2013

MILLCO ADVISORS, LP

BD
CRD#: 164157
WASHINGTON, DC
Past

August 25, 2011 - May 31, 2013

BRAVER STERN SECURITIES LLC

BD
CRD#: 29108
NEW YORK, NY
Past

August 18, 2011 - January 6, 2020

CLARKSONS SECURITIES, INC

BD
CRD#: 30882
NEW YORK, NY
Past

December 17, 2009 - August 1, 2013

N.A. INVESTCORP LLC

BD
CRD#: 134162
NEW YORK, NY
Past

September 11, 2009 - May 3, 2010

UNION FINANCIAL CORP.

BD
CRD#: 30650
NEW YORK, NY
Past

August 13, 2009 - February 18, 2010

MEREDITH WHITNEY SECURITIES, LLC

BD
CRD#: 110665
NEW YORK, NY
Past

November 13, 2007 - March 3, 2009

KABRIK TRADING LLC

BD
CRD#: 104460
NEW YORK, NY
Past

January 6, 2003 - December 13, 2005

PRECURSOR ADVISORS

RIA
CRD#: 118390
WASHINGTON, DC
Past

January 18, 2001 - December 13, 2005

THE PRECURSOR GROUP BROKER-DEALER, LLC

BD
CRD#: 103999
WASHINGTON, DC
Past

August 15, 1994 - April 26, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

October 23, 1989 - August 24, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 30, 1985 - November 16, 1989

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

June 1, 1977 - May 24, 1985

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/14/2010
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/12/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/10/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 7/29/2013
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 1/13/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 5
Date: 11/13/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/8/2004
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/6/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/28/1982
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

HS
HILL SECURITIES LLC
HILL SECURITIES LLC

CRD#: 338653 / SEC#: , 8-71444

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
501 2nd St, Suite 575, San Francisco, CA 94107
Mailing Address
501 2nd St, Suite 575, San Francisco, CA 94107
Phone number
(415) 650-8828
Established
Delaware since 09/11/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
HILL TECHNOLOGIES INC.MEMBER
BENSON, ANDREW LEIGHCHIEF EXECUTIVE OFFICER7796639
OKUN, JAMES HENRY IIICHIEF COMPLIANCE OFFICER6342214
SHEA, PATRICK OFARRELLFINOP838154

Red Flags

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Company Information

HILL SECURITIES LLC

CRD#: 338653New York, NY 10017

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