Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Patrick Dulligan is a financial professional with over 25 years of experience in the industry. Shawn is currently registered with RBC Capital Markets, LLC and has been with the firm since February 2008. Prior to joining RBC Capital Markets, LLC, Shawn was registered with RBC CAPITAL MARKETS CORPORATION, RBC DAIN RAUSCHER INC., SURETRADE INC., and QUICK & REILLY, INC. Shawn holds several industry licenses, including the Series 63, Series 9, Series 10, Series 24, Series 4, Series 8, Series 57TO, SIE, Series 55, Series 25, and Series 7. Shawn is registered in over 50 states and the District of Columbia. Shawn is a dedicated financial professional and has a proven track record of success.
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
NY
02/29/2008 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
02/22/2002 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
02/19/2002 - 06/14/2006
RBC DAIN RAUSCHER INC. (NEW YORK NY)
RI
11/10/1997 - 03/12/2001
SURETRADE INC. (LINCOLN RI)
NY
09/17/1997 - 11/18/1997
QUICK & REILLY, INC. (NEW YORK NY)
NY
05/17/1995 - 08/01/1997
LEW LIEBERBAUM & CO., INC. (GARDEN CITY NY)
BC
Issued 05/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/13/1999
Series 24 - General Securities Principal Examination
BC
Issued 03/02/1999
Series 4 - Registered Options Principal Examination
BC
Issued 04/08/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/14/2002
Series 25 - NYSE Trading Assistant Examination
BC
Issued 05/16/1995
Series 7 - General Securities 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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