Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shaun? Claim Your ProfileShaun McDougall is a financial advisor with Wells Fargo Clearing Services, LLC. Shaun has been working in the financial industry since 2016. Shaun is registered with the state of North Carolina to provide both brokerage and investment advisory services. Shaun holds the Series 7, 9, 10, 24, 66 and SIE licenses. Previous employers include HSBC Securities (USA) Inc., Citizens Securities, Inc., and J.P. Morgan Securities LLC. Shaun's experience and qualifications make him well-suited to provide financial advice to individuals and businesses.
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.
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.
Investment consulting services to institutional clients
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.
1
2
MO
10/28/2021 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
NY
03/27/2019 - 06/28/2021
HSBC SECURITIES (USA) INC. (NEW YORK NY)
MA
09/08/2016 - 01/10/2019
CITIZENS SECURITIES, INC. (DEDHAM MA)
AZ
08/27/2015 - 08/25/2016
J.P. MORGAN SECURITIES LLC (PHOENIX AZ)
BOTH
Issued 12/09/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/03/2019
Series 24 - General Securities Principal Examination
BC
Issued 11/16/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/05/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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