Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shaun? Claim Your ProfileShaun Michael Rowles is a financial advisor currently affiliated with UBS Financial Services Inc. Shaun has been in the financial services industry since 2002. Shaun is a Registered Representative (Series 7, 6, 63, and 66). Shaun has previously worked for SunTrust Investment Services, Inc. and BB&T Investment Services, Inc. Shaun has a wide range of experience serving individual investors and small businesses. Shaun provides a variety of financial services including financial planning, portfolio management, investment advisory services, and retirement planning.
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
TN
07/24/2020 - Present
UBS Financial Services Inc. (Franklin TN)
TN
07/31/2012 - 07/27/2020
SUNTRUST INVESTMENT SERVICES, INC. (NASHVILLE TN)
TN
07/16/2009 - 01/23/2012
SUNTRUST INVESTMENT SERVICES, INC. (KNOXVILLE TN)
TN
07/11/2002 - 04/21/2009
BB&T INVESTMENT SERVICES, INC. (SEVIERVILLE TN)
MN
02/14/2002 - 07/10/2002
SECURIAN FINANCIAL SERVICES, INC. (ST. PAUL MN)
BOTH
Issued 03/26/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/27/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2003
Series 7 - General Securities Representative Examination
BC
Issued 02/13/2002
Series 6 - Investment Company Products/Variable Contracts 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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