Shawn D. Smith

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CRD#: 1640168

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Shawn Devin Smith was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 1997. Shawn had worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) RENTAL PROPERTIES; NOT INVESTMENT RELATED; OWNERSHIP OF 2 APARTMENT BUILDINGS; STARTED 1994, 3 HOURS PER MONTH - NOT DURING TRADING HOURS, OWNER, LEASING AND MAINTENANCE. 2) SHAWN DEVIN SMITH FINANCIAL, INC.; NOT INVESTMENT RELATED; REGISTERED NAME FOR BUSINESS; STARTED 08/2022; OWNER/FINANCIAL PROFESSIONAL; 0 HOURS/MO; REGISTERED NAME FOR TAX PURPOSES.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 20, 2025 - October 16, 2025

SAXONY SECURITIES, INC.

CRD#: 115547

ST. LOUIS, MO

Past

March 21, 2024 - April 2, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 7471

NEW YORK, NY

Past

November 7, 1997 - December 18, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/10/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/6/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/27/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/30/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

SAXONY SECURITIES, INC.

SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

11152 S Towne Square, St. Louis, MO 63123

Mailing Address

11152 S Towne Square, St. Louis, MO 63123

Phone number

(314) 963-9336

Established

Missouri since 07/13/2001

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SAXONY HOLDINGS, INC.	SHAREHOLDER
CLARK, BRIAN LESLEY	CFO	4802438
GRIFFARD, RICHARD EDWARD	PRESIDENT/CEO/DIRECTOR	2472251
KLUMP, RYAN CHRISTOPHER	COO	4762698
MATARAZZI, NATHAN DOMENICO	FINOP, PFO AND POO	4827090
PALOS, KURT ROBERT	VICE PRESIDENT	6063745
PFEIFFER, STEPHANIE ANN	CCO	2278515

Disclosures

Regulatory Event	2
Arbitration	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Shawn D. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/6/1997

Series 10

Date: 6/27/2002

Series 9

Date: 5/30/2002

Current Firm

SAXONY SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SAXONY SECURITIES, INC.

TRUST BUT VERIFY

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