Brian Shea has been Owner / Sole Proprietor / CCO of Shea, Brian Michael since September 1993, is a control person of the firm and directly owns 75% or more of it.
Shea, Brian Michael is a firm with $119M under management, 77 clients and 2 advisers across 2 offices, as of its March 2026 filing.
- Shea Financial AdvisorsCurrent– present · 1 yearNorwalk, CT · Adviser representative · Firm CRD 125606
Investment adviser representative registrations
Brian Shea is registered as an investment adviser representative in 2 states. The first approvals date from May 2025; the most recent is Texas, in June 2025.
- ConnecticutSince 14 May 2025
- TexasSince 13 June 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 17 April 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 April 1996 |
| Series 7 | General Securities Representative Examination | 5 March 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Brian Michael Shea
- CRD
- 2558739
- Firm
- Shea, Brian Michael · CRD 125606
- Role
- Owner / Sole Proprietor / CCO
- Office
- Norwalk, CT
- Registration
- Investment adviser registration
- In the industry since
- May 2025
- Disciplinary history
- Not yet shown here · SEC record
Where does Brian Shea work?
Brian Shea has been Owner / Sole Proprietor / CCO of Shea, Brian Michael since September 1993, and is a control person of the firm.
Is Brian Shea a financial advisor?
Yes. Brian Shea has a current investment-adviser registration in Connecticut and Texas, through Shea, Brian Michael since May 2025.
How many years of experience does Brian Shea have?
Brian Shea has 1 year in the financial industry, since May 2025, across 1 adviser firm.
What exams has Brian Shea passed?
Brian Shea has passed 3 licensing exams: the Series 7, Series 65 and Series 63. The earliest, the Series 7, was passed in March 1996.
Where is Brian Shea based?
Brian Shea’s registered office is in Norwalk, CT.
Is Brian Shea registered with FINRA?
No. Brian Shea has no current broker registration.
How can I verify Brian Shea’s record?
Search CRD 2558739 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Brian Shea’s full registration record.