Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dominic? Claim Your ProfileDominic Francis Shea is a financial advisor registered with Wells Fargo Advisors Financial Network, LLC in Norwich, NY. Dominic has been working in the financial services industry since 2004. He has a Series 7 and Series 66 license, as well as a Series 9 and Series 10 license. Dominic also holds registrations in 27 states and 3 investment advisor states. Dominic is a Registered Representative and an Investment Advisor Representative. Dominic has a strong track record of providing financial advice to individuals, corporations, and other businesses. He has a deep understanding of the financial markets and is committed to helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
01/19/2023 - Present
Wells Fargo Advisors Financial Network, LLC (NORWICH NY)
NY
05/21/2004 - 01/19/2023
WELLS FARGO CLEARING SERVICES, LLC (NORWICH NY)
BOTH
Issued 06/16/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/24/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/09/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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