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Thomas Michael Shockman

SHOCKMAN FINANCIAL
FARGO, ND
·CRD# 1791982·38 years experience

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.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

38 years in the financial services industry

Current & Past Employments

Current

SHOCKMAN FINANCIALCurrent·CRD# 315529
RIA
2505 N University Dr Suite 201, Fargo, ND 58102
November 16, 2021 - Present

Past

ADVISORNET WEALTH PARTNERSPast·CRD# 113074
RIA
Fargo, ND
September 9, 2019 - December 31, 2021
CETERA WEALTH SERVICES, LLCPast·CRD# 13572
BD
Fargo, ND
August 22, 2019 - October 26, 2021
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLCPast·CRD# 144426
RIA
Fargo, ND
January 19, 2016 - August 19, 2019
INTERNATIONAL ASSETS ADVISORY, LLCPast·CRD# 10645
BD
Fargo, ND
September 4, 2015 - August 19, 2019
PARK AVENUE SECURITIES LLCPast·CRD# 46173
BD
Fargo, ND
November 8, 2001 - September 17, 2015
WALNUT STREET SECURITIES, INC.Past·CRD# 15840
BD
El Segundo, CA
May 10, 1999 - October 24, 2001
VOYA FINANCIAL ADVISORS, INC.Past·CRD# 2882
BD
Windsor, CT
March 15, 1991 - May 12, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATESPast·CRD# 4039
BD
New York, NY
April 8, 1988 - January 24, 1990
EQUITABLE ADVISORS, LLCPast·CRD# 6627
BD
New York, NY
April 8, 1988 - January 24, 1990

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Current Firm

SF
SHOCKMAN FINANCIAL

SHOCKMAN FINANCIAL | SHOCKMAN FINANCIAL COMPANIES LLC

CRD#: 315529
Minnesota
Registered Investment Advisory firm - Minnesota (6/28/2023 Approved)
North Dakota
Registered Investment Advisory firm - North Dakota (11/5/2021 Approved)
Texas
Registered Investment Advisory firm - Texas (2/28/2023 Conditional Restricted)

Contact Information

Main Address

2505 N University Dr Suite 201, Fargo, ND 58102

Phone Number

(701) 941-2134

# of Employees

2

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

235

AUM (Assets Under Management)

$35,918,770

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

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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.
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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2015About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1988About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2015About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Apr 1988About the Series 6 exam

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CRS (Client Relationship Summary) - RIA

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

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