Nicholas Shea, financial advisor Washington DC
93 score

Nicholas Shea

CRD Number: 1308350
Current Firm: Charles Schwab & Company, Inc.

Nicholas Shea (CRD# 1308350) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Washington, DC and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Charles Schwab Bank Washington, DC Nov 2010 - Current 6
Charles Schwab & Company, Inc. Washington, DC Nov 2010 - Current 6
Financial West Group Westlake Village, CA May 2010 - Nov 2010 < 1
Njs Consulting Eden Prairie, MN Jul 2008 - Jul 2010 2
Intersecurities Inc. St Paul, MN Jul 2007 - Jun 2008 < 1
Transamerica Retirement Management St Paul, MN Jun 2007 - Jun 2008 1
Wells Fargo Investments LLC Minneapolis, MN Oct 2004 - May 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1984
S65 NASAA Investment Advisors Law Examination Jan 1997
S66 NASAA Uniform Combined State Law Examination Mar 2008
Contact Info for Nicholas J. Shea
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • DC
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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