Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn K. Gaffin is a registered investment advisor with J.P. Morgan Securities LLC and has over 17 years of experience in the financial services industry. Shawn is a licensed Series 3, 7, 9, 10, 66, and SIE representative. Shawn is registered in multiple states including California, Colorado, Connecticut, Florida, Georgia, Illinois, Kentucky, Maryland, Massachusetts, New York, North Carolina, Ohio, South Carolina, Texas, and Wisconsin. Shawn has held previous positions at FIRST CITIZENS INVESTOR SERVICES, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
SC
07/18/2022 - Present
J.p. Morgan Securities LLC (Summerville SC)
SC
01/27/2017 - 09/15/2020
FIRST CITIZENS INVESTOR SERVICES, INC. (Charleston SC)
NC
03/09/2006 - 01/26/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENSBORO NC)
BOTH
Issued 11/30/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/21/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/08/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/2006
Series 3 - National Commodity Futures Examination
BC
Issued 03/08/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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