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 Peterson is a financial advisor with over 20 years of experience in the industry. Shawn has worked with a variety of clients, including individuals, high-net-worth individuals, corporations, and pension plans. He is a Registered Representative (Series 7, 6, and 66) and holds the Series 63 license. Shawn is currently registered with Raymond James & Associates, Inc. where Shawn has worked since 2019. Prior to that, Shawn spent over eight years with Wells Fargo Advisors LLC.
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.
Please see note in schedule d - miscellaneous
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
AZ
03/18/2021 - Present
Raymond James & Associates, Inc. (SCOTTSDALE AZ)
AZ
01/03/2011 - 07/16/2019
WELLS FARGO CLEARING SERVICES, LLC (SCOTTSDALE AZ)
AZ
08/16/2007 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SCOTTSDALE AZ)
AZ
07/06/2005 - 08/20/2007
CHASE INVESTMENT SERVICES CORP. (PHOENIX AZ)
IL
09/30/1998 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 06/16/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2004
Series 7 - General Securities Representative Examination
BC
Issued 09/29/1998
Series 6 - Investment Company Products/Variable Contracts 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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