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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 Simmons is a financial advisor with over 30 years of experience in the financial industry. Shawn is a CERTIFIED FINANCIAL PLANNER™ professional and holds a variety of securities licenses, including the Series 7, 24, 31, and 65. Shawn is currently registered with UBS Financial Services Inc. in Ohio and Texas. Prior to joining UBS Financial Services Inc., Shawn was a financial advisor with NatCity Investments, Inc., Red Capital Markets, Inc., Hibbard Brown & Co., Inc., and Sherwood Capital, Inc. Shawn specializes in providing financial planning, portfolio management, and other investment-related services to individuals, families, businesses, and institutions. Shawn is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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
OH
03/12/2012 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
10/13/2004 - 06/06/2008
NATCITY INVESTMENTS, INC. (CINCINNATI OH)
OH
02/24/1993 - 10/13/2004
RED CAPITAL MARKETS, INC. (COLUMBUS OH)
NY
05/24/1988 - 02/18/1993
HIBBARD BROWN & CO., INC. (NEW YORK NY)
NA
06/24/1987 - 05/31/1988
SHERWOOD CAPITAL, INC.
IA
Issued 08/04/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/03/1990
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 06/20/1987
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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