Thomas M. Shockman

SHOCKMAN FINANCIAL

FARGO, ND 58102

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CRD#: 1791982

Professional summary

Thomas Michael Shockman is a registered financial advisor currently at SHOCKMAN FINANCIAL located in Fargo, North Dakota.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 08/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE AND OTHER PRODUCTS 2. NAME OF OTHER BUSINESS: SHOCKMAN FINANCIAL COMPANIES, LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 08/2019 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: OWNER - PROVIDE FINANCIAL SERVICES TO CLIENTS ; 3. NAME OF OTHER BUSINESS: THOMAS SHOCKMAN INVESTMENT RELATED: NO ADDRESS: FARGO, ND NATURE OF BUSINESS: HIGH SCHOOL SPORTS START DATE: 1984 POSITION/TITLE/RELATIONSHIP: OFFICIAL APX NUMBER OF HOURS PER WEEK: 5 HOURS BETWEEN SEPT - NOV APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: OFFICIATE HIGH SCHOOL FOOTBALL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Shockman's CRS (Customer Relationship Summary).

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

Current

November 16, 2021 - Present

SHOCKMAN FINANCIAL

Office #1: 2505 N University Dr Suite 201, Fargo, ND 58102

RIA

CRD#: 315529

FARGO, ND

Past

September 9, 2019 - December 31, 2021

ADVISORNET WEALTH PARTNERS

RIA

CRD#: 113074

Fargo, ND

Past

August 22, 2019 - October 26, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

FARGO, ND

Past

January 19, 2016 - August 19, 2019

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

Fargo, ND

Past

September 4, 2015 - August 19, 2019

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

FARGO, ND

Past

November 8, 2001 - September 17, 2015

PARK AVENUE SECURITIES LLC

CRD#: 46173

FARGO, ND

Past

May 10, 1999 - October 24, 2001

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

March 15, 1991 - May 12, 1999

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

April 8, 1988 - January 24, 1990

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 8, 1988 - January 24, 1990

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(6/28/2023)

IAR

North Dakota
(11/16/2021)

IAR

Texas
(2/28/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/8/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/7/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHOCKMAN FINANCIAL

SHOCKMAN FINANCIAL | SHOCKMAN FINANCIAL COMPANIES LLC

CRD#: 315529 / SEC#:

Minnesota

Registered Investment Advisory firm - (6/28/2023 Approved)

North Dakota

Registered Investment Advisory firm - (11/5/2021 Approved)

Texas

Registered Investment Advisory firm - (2/28/2023 Conditional Restricted)

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Contact information

Main Address

2505 N University Dr Suite 201, Fargo, ND 58102

Mailing Address

Phone number

(701) 941-2134

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	213
AUM (Assets Under Management)	$ 34,558,421

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas M. Shockman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Shockman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVISORNET WEALTH PARTNERS

CETERA WEALTH SERVICES, LLC

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

PARK AVENUE SECURITIES LLC

WALNUT STREET SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/2015

Series 63

Date: 4/7/1988

SIE

Date: 10/1/2018

Series 7

Date: 6/4/2015

Series 6

Date: 4/7/1988

Current Firm

SHOCKMAN FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHOCKMAN FINANCIAL

TRUST BUT VERIFY

Contact information

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