Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Devin Smith is a financial professional with over 25 years of experience in the financial services industry. Shawn Devin Smith is currently registered with Cetera Investment Advisers LLC and is licensed to provide financial advice in 15 states. Prior to joining Cetera Investment Advisers LLC, Shawn Devin Smith was employed by Woodbury Financial Services, Inc., Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Shawn Devin Smith holds several professional designations and has passed a number of industry exams, including the Series 66, Series 10, Series 9, SIE, and Series 7. Shawn Devin Smith specializes in financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses.
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.
A percentage of the total value of assets under management is charged.
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2
MO
03/21/2024 - Present
Cetera Investment Advisers LLC (SAINT LOUIS MO)
MO
04/16/2009 - 11/11/2014
WOODBURY FINANCIAL SERVICES, INC. (CLAYTON MO)
MO
04/02/2007 - 04/20/2009
MORGAN STANLEY & CO. INCORPORATED (CHESTERFIELD MO)
MO
03/21/2006 - 04/02/2007
MORGAN STANLEY DW INC. (CHESTERFIELD MO)
MO
07/01/2003 - 03/29/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
12/14/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/07/1997 - 12/18/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 12/10/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/27/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/30/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/06/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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