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Brian Michael Shea

Shea Financial Advisors

Norwalk, CT

CRD 2558739

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Employer firm

Shea Financial Advisors CRD 125606

$119M regulatory AUM 2 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Shea Financial Advisors

Norwalk, CT • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-06-13
CT RA APPROVED 2025-05-14
  • TX RA
    APPROVED
    Since 2025-06-13
  • CT RA
    APPROVED
    Since 2025-05-14

Branch Locations

Norwalk, CT • 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
Shea Financial Advisors Fka (Brian M. Shea, Cfp, Ea) Norwalk CT 01/1997 Present
  • 01/1997 → Present
    Shea Financial Advisors Fka (Brian M. Shea, Cfp, Ea)
    Norwalk, CT
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-04-17
S65 Uniform Investment Adviser Law Examination 1996-04-17
  • S63 Uniform Securities Agent State Law Examination
    1996-04-17
  • S65 Uniform Investment Adviser Law Examination
    1996-04-17
Designations
  • Certified Financial Planner
Other Names
  • Brian M. Shea

View on SEC IAPD

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