Shawn D. Martin

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CRD#: 2042397

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 Del Martin was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 1990. Shawn had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

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

September 30, 2020 - September 30, 2021

RFS PARTNERS

CRD#: 18119

Greenwood Village, CO

Past

March 11, 2019 - September 30, 2020

ICON DISTRIBUTORS, INC.

CRD#: 28568

GREENWOOD VILLAGE, CO

Past

August 23, 2011 - September 7, 2018

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081

CINCINNATI, OH

Past

October 8, 2007 - June 24, 2011

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

June 16, 2006 - October 19, 2007

SANDERS MORRIS LLC

RIA

CRD#: 20580

TULSA, OK

Past

February 18, 2004 - December 31, 2006

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

TULSA, OK

Past

December 9, 2003 - October 19, 2007

SANDERS MORRIS LLC

CRD#: 20580

TULSA, OK

Past

March 7, 2001 - December 5, 2003

PIPER SANDLER & CO.

RIA

CRD#: 665

TULSA, OK

Past

November 6, 2000 - December 5, 2003

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

June 13, 1997 - November 14, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 7, 1994 - June 20, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 3, 1993 - October 18, 1994

BOATMEN'S INVESTMENT SERVICES, INC.

CRD#: 17533

ST. LOUIS, MO

Past

July 30, 1990 - August 4, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 24, 1990 - June 15, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

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 65

Date: 3/8/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/3/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/21/1990

General Securities Representative Examination

Current Firm

RFS PARTNERS

CRD#: 18119 / SEC#: , 8-36128

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1125 17th Street Suite 2550, Denver, CO 80202-1805

Mailing Address

1125 17th Street Suite 2550, Denver, CO 80202-1805

Phone number

(415) 378-5100

Established

California since 07/31/1985

Firm type

Partnership

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RICHARD F. SHELTON, INC.	GENERAL PARTNERS
ROGERS, STEPHEN CRAIG	CEO, PRESIDENT	2329685
CLARK, DENNIS PATRICK	MEMBER	1410280
DELLA FLORA, CARRIE WORCESTER	CHIEF COMPLIANCE OFFICER	4225260
MARTIN, BARRINGER HAROLD	MEMBER	4038450

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. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ICON DISTRIBUTORS, INC.

AUGUSTAR DISTRIBUTORS, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

SANDERS MORRIS LLC

SMH CAPITAL ADVISORS LLC

SANDERS MORRIS LLC

PIPER SANDLER & CO.

PIPER SANDLER & CO.

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

BOATMEN'S INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/1996

Series 63

Date: 4/3/1990

SIE

Date: 9/7/2018

Series 7

Date: 4/21/1990

Current Firm

RFS PARTNERS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RFS PARTNERS

TRUST BUT VERIFY

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