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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 Conway MacFarlan is a financial advisor associated with UBS Financial Services Inc. Shawn has been in the industry since September 25, 2000, and has a wide range of experience serving clients across various states. Shawn's current registrations include Series 63, Series 65, Series 7, and Series 10. The advisor has been registered with UBS Financial Services Inc. since February 2002 and is currently located in Seattle, WA.
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
WA
07/10/2009 - Present
UBS Financial Services Inc. (SEATTLE WA)
IA
Issued 04/19/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/27/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/2005
Series 3 - National Commodity Futures Examination
BC
Issued 09/23/2000
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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