Christopher Michael Shea
Investment Adviser Representative at Rockefeller Capital Management
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Christopher Michael Shea is an investment adviser representative with Rockefeller Capital Management in Paramus, NJ, where they have been registered since 2026. They have worked in the securities industry since 1996 and have been registered with 3 firms, including UBS Asset Management (Americas) LLC and UBS Financial Services Inc. They have passed 6 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in New Jersey and Texas.
Office
Advisors at this office: 13
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New Jersey, Texas
- Broker:
37 states and territories
Alabama, Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- UBS Asset Management Inc.Jul 2020 – Feb 2026New York, NY
- Rockefeller Financial LLCMar 2026 – no end date reportedParamus, NJ
- UBS Financial ServicesJun 2003 – Jul 2020New York, NY
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Rockefeller Capital Management
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Estimated blended rate
- 0.0125
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 995
- Offices listed on AdvisorFinder:
- 47
- Main office:
- New York, NY
- SEC file number:
- 801-114033
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
View full firm profileOther advisors at Rockefeller Capital Management
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Christopher Michael Shea has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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