Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Geraldine? Claim Your ProfileGeraldine Marie Shea is a financial advisor with RBC Capital Markets, LLC, based in Minneapolis, MN. Geraldine is active in the financial industry since 1992 and holds Series 6, 7, 26, 63, and 65 licenses, along with the SIE designation. She has been registered with the firm since March 2008. Geraldine has experience working with various clients, including corporations, high-net-worth individuals, individuals other than high-net-worth, charitable organizations, and pension and profit-sharing plans. She provides a variety of financial services, including financial planning, portfolio management, and selection of other advisors.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MN
12/22/2023 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MA
07/28/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
MA
10/16/1996 - 07/26/1999
JOHN HANCOCK FUNDS, INC. (BOSTON MA)
MA
01/30/1991 - 03/08/1995
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
01/30/1991 - 03/08/1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 12/03/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/1997
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1997
Series 7 - General Securities Representative Examination
BC
Issued 01/29/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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