Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Kenning Shea is a financial professional with over 20 years of experience in the securities industry. Eric has been registered with the Financial Industry Regulatory Authority (FINRA) since 2002 and holds Series 7, 24, 63, and SIE licenses. Eric has a strong background in investment banking and has worked at several leading financial institutions, including Deutsche Bank Securities Inc., UBS Securities LLC, and MUFG Securities Americas Inc. He currently is a registered representative at Capital One Securities, Inc.
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.
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.
1
2
NY
12/05/2018 - Present
Capital ONE Securities, Inc. (New York NY)
NY
12/10/2013 - 08/16/2018
MUFG SECURITIES AMERICAS INC. (NEW YORK NY)
NY
01/08/2013 - 02/28/2013
OMNICAP, LLC (NEW YORK NY)
NY
04/16/2010 - 03/09/2012
UBS SECURITIES LLC (NEW YORK NY)
NY
07/25/2002 - 01/06/2010
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BC
Issued 07/31/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 08/16/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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