Regulatory Matters

Shea & Company, LLC provides independent financial advice on mergers, acquisitions, financial restructurings, private capital raising and similar corporate finance matters.  Shea & Company is not a retail broker-dealer.  The firm does not conduct underwriting activities, provide research or analyst reports or solicit or carry accounts for, or offer or sell securities products to retail customers.

Shea & Company is regulated by Financial Industry Regulatory Authority, Inc. (FINRA) as a member firm and is a member of Securities Investor Protection Corporation (SIPC).

The information and services provided on this web site are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or where Shea & Company is not authorized to provide such information or services.

IRS Circular 230 Disclosure

Shea & Company, LLC does not provide tax advice.  Accordingly, any discussion of U.S. tax matters contained herein (including any attachments) is not intended or written to be used, and cannot be used, in connection with the promotion, marketing or recommendation by anyone unaffiliated with Shea & Company of any of the matters addressed herein or for the purpose of avoiding U.S. tax related penalties.

Privacy Policy

Shea & Company does not disclose any confidential information obtained about its clients, except as required or permitted by law or as otherwise authorized by such clients.  Shea & Company is committed to preserving the confidentiality and security of its clients’ information and maintains physical, electronic and procedural protections designed to guard information against impermissible disclosure.