Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shane? Claim Your ProfileShane Flock is a financial advisor with over 25 years of experience in the industry. Shane has worked with RBC Capital Markets, LLC since 2009, and prior to that, Shane was a registered representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Shane is a Series 66 and Series 65 licensed professional, and holds Series 3, 7, 9, and 10 licenses. Shane specializes in investment advisory services for individuals, families, and businesses. Shane also provides financial planning and pension consulting services.
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
WA
01/30/2009 - Present
RBC Capital Markets, LLC (Twisp WA)
WA
11/25/1997 - 02/02/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SEATTLE WA)
IA
Issued 03/06/2003
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/28/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/19/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/06/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/2013
Series 3 - National Commodity Futures Examination
BC
Issued 11/24/1997
Series 7 - General Securities 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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