Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Harshman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 18 years of experience in the financial industry. Shawn is registered with both FINRA and the state of Colorado. Shawn is active in both broker-dealer and investment advisor capacities. Shawn has held previous positions at Cambridge Investment Research, Inc., Financial Network Investment Corporation, AFS Brokerage, Inc., and First Investors Corporation. Shawn is a licensed Series 7, Series 6, Series 63, Series 66, and Series 24 representative. Shawn's current office location is in Boulder, Colorado.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CO
05/26/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOULDER CO)
CO
05/01/2008 - 06/04/2020
CAMBRIDGE INVESTMENT RESEARCH, INC. (BOULDER CO)
CO
05/06/2004 - 05/02/2008
FINANCIAL NETWORK INVESTMENT CORPORATION (BOULDER CO)
TX
10/01/2002 - 05/04/2004
AFS BROKERAGE, INC. (AUSTIN TX)
NJ
06/05/2002 - 10/14/2002
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 01/05/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/01/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2003
Series 7 - General Securities Representative Examination
BC
Issued 06/04/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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