Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn James Ezzo is a financial advisor with over 15 years of experience in the financial industry. Shawn currently works at Stifel, Nicolaus & Company, Inc. Shawn also has experience at CREDIT SUISSE SECURITIES (USA) LLC, J.P. MORGAN SECURITIES LLC, STANFORD GROUP COMPANY, BANC OF AMERICA INVESTMENT SERVICES, INC., BANC OF AMERICA SECURITIES LLC, and LEHMAN BROTHERS INC. Shawn is licensed to provide securities and investment advisory services in 26 states. Shawn holds the Series 7, Series 63, and Series 65 licenses.
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.
1
2
TX
01/21/2016 - Present
Stifel, Nicolaus & Company, Inc. (DALLAS TX)
TX
01/16/2015 - 02/18/2016
CREDIT SUISSE SECURITIES (USA) LLC (DALLAS TX)
TX
08/10/2009 - 01/20/2015
J.P. MORGAN SECURITIES LLC (DALLAS TX)
TX
03/05/2009 - 03/23/2009
STANFORD GROUP COMPANY (DALLAS TX)
TX
03/30/2005 - 07/27/2005
STANFORD GROUP COMPANY (HOUSTON TX)
MA
08/18/2003 - 03/24/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
02/20/2002 - 08/20/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
10/13/1999 - 02/25/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 02/21/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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