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 Hertz is a registered representative with Stifel, Nicolaus & Company, Inc., holding licenses in several states, including Montana and Texas. Shawn has been active in the financial industry since 1988, with experience at firms like Citigroup Global Markets Inc. and Lehman Brothers Inc. Shawn offers financial planning, portfolio management, and pension consulting services to individuals, businesses, and pooled investment vehicles.
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
MT
10/22/2009 - Present
Stifel, Nicolaus & Company, Inc. (BOZEMAN MT)
MT
07/31/1993 - 05/28/2009
CITIGROUP GLOBAL MARKETS INC. (BOZEMAN MT)
NY
10/19/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 03/02/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/05/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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