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Michael Leo Shea

Wealthplan Investment Management LLC

Omaha, NE

Granite Bay, CA

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Current Employers
Wealthplan Investment Management Llc

101 S 108Th Ave 3Rd Floor, Omaha, NE 68154 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED_RES 2023-11-08
  • CA RA
    APPROVED_RES
    Since 2023-11-08

Branch Locations

101 S 108Th Ave 3Rd Floor, Omaha, NE 68154 • United States

Granite Bay, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mechanics Bank Walnut Creek CA 05/2016 07/2021
Wealthplan Investment Management Llc Omaha NE 08/2023 Present
Five Star Bank Sacramento CA 07/2021 04/2024
Previous Registrations
  • 2014-11-03 → 2015-11-30
    Wealthplan Partners
    Pleasant Hill, CA
    Omaha, NE
  • 2013-09-16 → 2014-05-14
    Creative Planning
    Pleasant Hill, CA
    Overland Park, KS
  • 2010-11-16 → 2013-08-12
    Alpha Fiduciary
    Scottsdale, AZ
  • 2005-03-28 → 2007-02-28
    Optimum Investment Advisors, Llc
    Burlingame, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-10-26
S63 Uniform Securities Agent State Law Examination 2014-10-30
  • S65 Uniform Investment Adviser Law Examination
    2023-10-26
  • S63 Uniform Securities Agent State Law Examination
    2014-10-30

View on SEC IAPD

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