Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shauywn? Claim Your ProfileShauywn S. Smith is a financial advisor who has been in the industry since May 14, 2002. Shauywn is currently registered with LPL Financial LLC and has been with them since June 9, 2022. Previously, Shauywn was registered with MORGAN STANLEY. Before that, Shauywn was registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Prior to that, Shauywn was registered with PRUDENTIAL SECURITIES INCORPORATED and LEHMAN BROTHERS INC. Shauywn is licensed to provide financial services in California, Colorado, Florida, Michigan, Missouri, Oklahoma, Texas, Washington, and Wisconsin. Shauywn is also a registered investment advisor in Texas. Shauywn has a Series 7, Series 3, Series 63, Series 65, and Series 66 license.
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.
Consulting and other non-discretionary advisory services
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.
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2
TX
06/09/2022 - Present
LPL Financial LLC (HOUSTON TX)
TX
02/25/2011 - 06/13/2022
MORGAN STANLEY (The Woodlands TX)
TX
11/08/2006 - 03/02/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
NY
03/27/1995 - 05/22/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/27/1992 - 04/21/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 02/01/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2006
Series 7 - General Securities Representative Examination
BC
Issued 08/19/1996
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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