Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Michael Gray is an investment advisor representative at RBC Capital Markets, LLC. Shawn has been in the industry since 1994 and holds both Series 6 and Series 7 registrations. Shawn is also a registered investment advisor and holds both a Series 63 and Series 65 license. Shawn previously worked at Northwestern Mutual Investment Services, LLC and Robert W. Baird & Co. Incorporated. Shawn is registered in 25 states and is licensed to offer a wide range of services. Shawn has expertise working with individuals, businesses, charities, and investment companies.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MN
03/30/2017 - Present
RBC Capital Markets, LLC (STILLWATER MN)
MN
02/28/1994 - 06/13/2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (STILLWATER MN)
WI
02/28/1994 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 08/09/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2013
Series 7 - General Securities Representative Examination
BC
Issued 02/25/1994
Series 6 - Investment Company Products/Variable Contracts 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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