Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Steven Higley is a financial advisor currently registered with UBS Financial Services Inc. Shawn has over 10 years of experience in the financial services industry. Prior to joining UBS, Shawn worked at LPL Financial LLC. Shawn has passed the Series 6, 7, 9, 10, 63, and 65 exams and is licensed in both New Jersey and Texas. Shawn specializes in working with individuals, families, and businesses.
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.
See schedule d - miscellaneous
1
2
TX
06/25/2021 - Present
UBS Financial Services Inc. (Leander TX)
CA
10/13/2016 - 07/14/2021
LPL FINANCIAL LLC (SAN DIEGO CA)
TX
12/03/2014 - 10/06/2015
NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)
TX
03/16/2009 - 10/23/2014
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
IA
Issued 03/02/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/09/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/03/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/15/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/2011
Series 7 - General Securities Representative Examination
BC
Issued 03/13/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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