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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 Lemko is an active investment advisor representative with UBS Financial Services Inc. Shawn has been in the industry since 2002. Shawn currently works out of the Baltimore, Maryland office of UBS Financial Services Inc. Shawn previously worked at Southwest Securities, Inc., Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Shawn is registered in 9 states including Delaware, District of Columbia, Maryland, New Jersey, North Carolina, South Carolina, Texas, Virginia and Maryland. Shawn has passed the following exams: Series 66, Series 53, Series 10, Series 9, Series 99TO, SIE, Series 3, and Series 7. Shawn specializes in asset allocation, financial planning, investment strategies, investment management, retirement planning, and wealth management.
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
MD
03/04/2013 - Present
UBS Financial Services Inc. (BALTIMORE MD)
TX
09/18/2009 - 11/06/2012
SOUTHWEST SECURITIES, INC. (DALLAS TX)
WA
04/02/2007 - 03/06/2009
MORGAN STANLEY & CO. INCORPORATED (BELLEVUE WA)
WA
12/12/2001 - 04/02/2007
MORGAN STANLEY DW INC. (BELLEVUE WA)
BOTH
Issued 06/01/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/22/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/01/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/02/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/07/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/2005
Series 3 - National Commodity Futures Examination
BC
Issued 12/11/2001
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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