Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shaun? Claim Your ProfileShaun Hawkins is a financial advisor with UBS Financial Services Inc. Shaun has been in the industry since 1998. Shaun is registered in Maine and Texas. Shaun previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, DIMENSION BROKERAGE, LLC, SUSQUEHANNA FINANCIAL GROUP, LLLP, MORGAN STANLEY & CO., INCORPORATED and GOLDMAN, SACHS & CO. Shaun holds Series 3, 7, 63 and 66 licenses.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
ME
07/16/2021 - Present
UBS Financial Services Inc. (PORTLAND ME)
ME
01/09/2011 - 07/19/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PORTLAND ME)
NY
08/10/2006 - 12/23/2008
DIMENSION BROKERAGE, LLC (NEW YORK NY)
PA
07/18/2003 - 11/24/2004
SUSQUEHANNA FINANCIAL GROUP, LLLP (BALA CYNWYD PA)
NY
07/17/2000 - 02/27/2003
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
08/25/1994 - 08/04/2000
GOLDMAN, SACHS & CO. (NEW YORK NY)
BOTH
Issued 12/13/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1994
Series 3 - National Commodity Futures Examination
BC
Issued 08/24/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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