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Christopher Michael Shea

Rockefeller Financial LLC

Paramus, NJ

Florham Park, NJ

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2026-04-08
TX RA APPROVED 2026-04-06
  • NJ RA
    APPROVED
    Since 2026-04-08
  • TX RA
    APPROVED
    Since 2026-04-06

Branch Locations

115 West Century Road, Paramus, NJ 07652 • United States

180 Park Ave Suite 203, Florham Park, NJ 07932 • 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
Ubs Asset Management Inc. New York NY 07/2020 02/2026
Rockefeller Financial Llc Paramus NJ 03/2026 Present
Ubs Financial Services New York NY 06/2003 07/2020
  • 07/2020 → 02/2026
    Ubs Asset Management Inc.
    New York, NY
  • 03/2026 → Present
    Rockefeller Financial Llc
    Paramus, NJ
  • 06/2003 → 07/2020
    Ubs Financial Services
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-08
S63 Uniform Securities Agent State Law Examination 1993-10-11
  • S66 Uniform Combined State Law Examination
    2006-05-08
  • S63 Uniform Securities Agent State Law Examination
    1993-10-11
Designations
Other Names
  • Chris Shea
  • Christopher Michael Shea
  • Christopher M Shea

View on SEC IAPD

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