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William Brien Shea

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Greenwich, CTCRD #1703348Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
34 yrs
States Registered
43 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 43 states
AlabamaArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMissouriMontanaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaTennesseeTexasUtahVermontVirginiaWashingtonWisconsinWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 3/31/2000
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 11/3/1993
Series 24
General Securities Principal Examination
Passed 9/28/1994

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
5/11/2000Greenwich, CT
BELLE HAVEN INVESTMENTS, L.P.
10/7/19991/31/2000Rye Brook, NY
YAMAICHI INTERNATIONAL (AMERICA) INC.
2/26/199712/12/1997New York, NY
THE NIKKO SECURITIES CO. INTERNATIONAL, INC.
5/25/19932/6/1997New York, NY
WHITEHILL CAPITAL, INC.
5/31/19913/24/1992
LLOYDS GOVERNMENT SECURITIES CORPORATION
7/25/19876/20/1989

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. William Brien 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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