Nicholas Shea has been Managing Member and Chief Compliance Officer of Catalyst Investment Management since July 2018, is a control person of the firm and directly owns between 50% and 75% of it. Nicholas Shea holds a Bachelor of Arts in Political Science from Occidental College and an MBA from the University of Notre Dame.
Catalyst Investment Management LLC is a firm with $130M under management, 60 clients and 2 advisers across 3 offices, as of its May 2026 filing.
Nick Shea is Founder of Catalyst Investment Management. Nick became a licensed stockbroker in 1984 and served most of his early career at the former Dean Witter, now Morgan Stanley. Eventually, his career brought him to Charles Schwab, where he worked as an Investment Consultant, Branch Manager, and Product Developer, and as a Learning and Development Director he created and delivered the branch management leadership program for the branch network.
Nicholas Shea’s longest registration is the current one, 8 years at Catalyst Investment Management since 2018. Before joining Catalyst Investment Management in 2018, Nicholas Shea was registered through Charles Schwab & Co., Inc. and Financial West Group.
- – present · 8 yearsWindham, NH · Adviser representative · Firm CRD 298122
- Charles Schwab & Co., Inc.– · 6 yearsWashington, DC · Adviser representative · Firm CRD 5393
- Financial West Group– · under a yearEdina, MN · Adviser representative · Firm CRD 16668
- Intersecurities, Inc.– · under a yearSt. Paul, MN · Adviser representative · Firm CRD 16164
- Wells Fargo Investments, LLC– · 2 yearsMinneapolis, MN · Adviser representative · Firm CRD 10582
- Charles Schwab & Co., Inc.– · 3 yearsIN · Adviser representative · Firm CRD 5393
Investment adviser representative registrations
Nicholas Shea is registered as an investment adviser representative in 5 states, as a resident of Texas. The first approvals date from October 2018; the most recent is Florida, in September 2021.
- FloridaSince 30 September 2021
- MaineSince 9 November 2020
- MassachusettsSince 15 January 2019
- New HampshireSince 18 October 2018
- TexasResidentSince 15 March 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 17 March 2008 |
| Series 24 | General Securities Principal Examination | 30 May 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 15 January 1997 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 26 June 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 November 1984 |
| Series 7 | General Securities Representative Examination | 20 October 1984 |
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nicholas Joseph Shea
- CRD
- 1308350
- Firm
- Catalyst Investment Management · CRD 298122
- Role
- Managing Member and Chief Compliance Officer
- Office
- Windham, NH
- Registration
- Investment adviser registration
- In the industry since
- March 1991
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- catalystinvestmentmanagement.com
Where does Nicholas Shea work?
Nicholas Shea has been Managing Member and Chief Compliance Officer of Catalyst Investment Management LLC since July 2018, and is a control person of the firm.
Is Nicholas Shea a financial advisor?
Yes. Nicholas Shea has a current investment-adviser registration in Florida, Maine, Massachusetts, New Hampshire and Texas, through Catalyst Investment Management since October 2018.
How many years of experience does Nicholas Shea have?
Nicholas Shea has 35 years in the financial industry, since March 1991, across 5 adviser firms.
What exams has Nicholas Shea passed?
Nicholas Shea has passed 7 licensing exams: the Series 7, Series 63, Series 8, Series 65, Series 24, Series 66 and Series 7TO. The earliest, the Series 7, was passed in October 1984. FINRA credited Nicholas Shea with the SIE, which began in October 2018.
Where did Nicholas Shea work before Catalyst Investment Management?
Before Catalyst Investment Management, Nicholas Shea was registered through Charles Schwab & Co., Inc., December 2010 to March 2017; Financial West Group, June 2010 to November 2010; Intersecurities, Inc., July 2007 to June 2008; Wells Fargo Investments, LLC, March 2005 to June 2007; Charles Schwab & Co., Inc., January 2001 to August 2004.
Where is Nicholas Shea based?
Nicholas Shea’s registered office is in Windham, NH.
Is Nicholas Shea registered with FINRA?
No. Nicholas Shea has no current broker registration.
How can I verify Nicholas Shea’s record?
Search CRD 1308350 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Shea’s full registration record.