Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Waltz is a financial advisor with over 15 years of experience. Shawn has a strong background in the financial services industry and is a Registered Representative of Dunham & Associates Investment Counsel, Inc. He specializes in providing investment advisory services to high net worth individuals, corporations, and institutions. Shawn is committed to providing personalized financial advice and investment solutions that are tailored to meet the unique needs of each client. In addition to his work with Dunham & Associates, Shawn has previously held positions at Pershing LLC, Persimmon Securities, Inc., and PFPC Distributors, Inc. He is a highly respected and experienced financial professional with 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.
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.
Strategic management for diversified investment portfolios.
Asset-allocation services
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
07/23/2019 - Present
Dunham & Associates Investment Counsel, Inc. (SAN DIEGO CA)
PA
08/01/2014 - 03/01/2019
PERSHING LLC (KING OF PRUSSIA PA)
PA
01/26/2007 - 10/01/2007
PERSIMMON SECURITIES, INC. (KING OF PRUSSIA PA)
ME
10/26/2004 - 06/07/2005
PFPC DISTRIBUTORS, INC. (PORTLAND ME)
MA
09/10/2003 - 02/27/2004
SIGNATOR INVESTORS, INC. (BOSTON MA)
BC
Issued 02/19/2015
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/19/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/2014
Series 7 - General Securities Representative Examination
BC
Issued 09/09/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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