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Timothy John Shea

LPl Financial LLC

Newport Beach, CA

San Diego, CA

San Marcos, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-09-01
TX RA APPROVED 2020-09-01
  • CA RA
    APPROVED
    Since 2020-09-01
  • TX RA
    APPROVED
    Since 2020-09-01

Branch Locations

4685 Macarthur Ct Ste 150, Newport Beach, CA 92660 • United States

16789 Bernardo Center Dr, San Diego, CA 92128 • United States

San Marcos, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lucia Capital Group San Diego CA 04/2010 Present
Lucia Securities, Llc San Diego CA 09/2011 Present
Lpl Financial, Llc San Diego CA 09/2020 Present
  • 04/2010 → Present
    Lucia Capital Group
    San Diego, CA
  • 09/2011 → Present
    Lucia Securities, Llc
    San Diego, CA
  • 09/2020 → Present
    Lpl Financial, Llc
    San Diego, CA
Previous Registrations
  • 2010-04-09 → 2020-10-05
    Lucia Capital Group
    San Diego, CA
  • 2008-08-25 → 2010-10-19
    Raymond J. Lucia Companies, Inc.
    San Diego, CA
Other Businesses

1. 09/01/2020 - LUCIA CAPITAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 10%/ SAN DIEGO, CA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-08-13
S63 Uniform Securities Agent State Law Examination 1991-01-25
  • S65 Uniform Investment Adviser Law Examination
    2008-08-13
  • S63 Uniform Securities Agent State Law Examination
    1991-01-25
Designations
Other Names
  • Tim Shea

View on SEC IAPD

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Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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