Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Nierman is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Shawn has been in the securities industry since July 18, 2013 and is registered in 27 states. Shawn has worked for several financial institutions, including USAA Financial Advisors, Inc., Wells Fargo Advisors, LLC, Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. Shawn holds the Series 63, 65, 66, and 7 licenses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
10/23/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCOTTSDALE AZ)
AZ
04/23/2014 - 10/29/2014
USAA FINANCIAL ADVISORS, INC. (PHOENIX AZ)
AZ
03/09/2010 - 05/01/2012
WELLS FARGO ADVISORS, LLC (SCOTTSDALE AZ)
AZ
06/01/2009 - 02/23/2010
MORGAN STANLEY SMITH BARNEY (SCOTTSDALE AZ)
AZ
10/10/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SCOTTSDALE AZ)
BOTH
Issued 09/05/2019
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/21/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/05/2019
Series 7TO - General Securities Representative Examination
BC
Issued 06/28/2019
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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