Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Lloyd Meeks is a financial advisor with UBS Financial Services Inc. located in Bellevue, WA. Shawn has been in the financial industry since August 14, 1990, and holds various licenses including Series 6, 7, 31, and 63. Prior to joining UBS Financial Services Inc., Shawn was with Piper Jaffray & Co. in Seattle, WA. Shawn is registered in several states across the US and holds active registrations for both Broker-Dealer and Investment Adviser.
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
WA
08/12/2006 - Present
UBS Financial Services Inc. (Bellevue WA)
WA
11/16/1998 - 08/12/2006
PIPER JAFFRAY & CO. (SEATTLE WA)
MN
09/03/1997 - 11/16/1998
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
OR
02/05/1996 - 09/03/1997
U.S. BANCORP SECURITIES (PORTLAND OR)
CA
07/13/1993 - 05/10/1995
MURPHEY FAVRE, INC. (IRVINE CA)
NY
10/19/1988 - 04/05/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
07/15/1987 - 09/20/1988
FIRST INVESTORS CORPORATION
IA
Issued 01/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 07/12/1993
Series 7 - General Securities Representative Examination
BC
Issued 07/10/1987
Series 6 - Investment Company Products/Variable Contracts 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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