Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Pierre Hockaday is a financial professional with over two decades of experience in the industry. Shawn has a diverse background in financial services, having worked with several firms including USAA Financial Advisors, Inc., USAA Investment Management Company, E*TRADE Securities LLC, and Continental Broker-Dealer Corp. Shawn is currently registered with Tapp Engine Securities in Quincy, Massachusetts.
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.
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.
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2
MA
05/29/2024 - Present
Tapp Engine Securities (QUINCY MA)
TX
09/08/2022 - 01/04/2024
SOCIAL INVSTR (San Antonio TX)
TX
06/10/2016 - 06/04/2020
USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)
TX
10/10/2003 - 06/04/2020
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
TX
04/28/2015 - 05/02/2016
USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)
NJ
12/19/2002 - 06/11/2003
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NJ
05/14/2002 - 10/29/2002
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
TX
01/08/1998 - 05/20/2002
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
NY
05/09/1997 - 12/22/1997
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
BC
Issued 11/04/2022
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/20/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 27 - Financial and Operations Principal Examination
BC
Issued 07/25/2022
Series 24 - General Securities Principal Examination
BC
Issued 07/25/2022
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/25/2022
Series 4 - Registered Options Principal Examination
BC
Issued 07/25/2022
Series 7TO - General Securities Representative Examination
BC
Issued 07/25/2022
Series 52TO - Municipal Securities Representative Examination
BC
Issued 07/25/2022
Series 99TO - Operations Professional Examination
BC
Issued 07/25/2022
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/01/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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