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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Andrew Rubin is an investment professional with over 30 years of experience in the financial services industry. Shawn has been associated with Morgan Stanley since June 2009. Prior to joining Morgan Stanley, Shawn worked at CITIGROUP GLOBAL MARKETS INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Shawn holds FINRA Series 3, 7, 63, and 65 licenses as well as the SIE exam. Shawn has been registered with the Securities and Exchange Commission as an investment advisor representative in New Jersey, New York, and Texas. Shawn specializes in providing financial planning, portfolio management for individuals, businesses, and investment companies, pension consulting, asset allocation advice, and educational seminars.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
02/11/2014 - Present
Morgan Stanley (New York NY)
NY
11/30/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/25/1993 - 12/03/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
10/30/1992 - 04/07/1993
BROWN & COMPANY SECURITIES CORPORATION (BOSTON MA)
NY
08/17/1992 - 11/10/1992
GKN SECURITIES CORP. (NEW YORK NY)
IA
Issued 09/28/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2001
Series 3 - National Commodity Futures Examination
BC
Issued 08/12/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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