Shawn Orin Higley, AIF | Financial Professional

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 Orin Higley, AIF® was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 1991. Shawn had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

No

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) HIGLEY PROPERTIES, LLC POSITION: Owner NATURE: Purchase, hold, develop, market real estate property typically raw land up to and near home would be built and remaining as real estate investment property related to capital gains taxes vs. business earning as contractor. Going up to but no further remaining a real estate investor INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 09/19/2013 ADDRESS: 5331 S MACADAM STE 258 -717, Portland OR 97239, United States DESCRIPTION: Checking account management, register agent duties, searching for investment property and submitting bids. 2) HIGLEY PROPERTY HOLDINGS, LLC POSITION: Administrator NATURE: I use IRA Financial Trust as custodian for a Managed IRA LLC. The IRA owns the LLC, I am the manager of the LLC and in this instance the LLC owns real estate. It has checking and savings accounts in the name of the LLC and those assets can not be co-mingled given they are IRA assets.In 2022 I converted an assets in the IRA LLC to be a Roth asset. This asset was moved to newly established LLC to hold the newly converted assets from an IRA to ROTH. The Roth LLC is named Higley Property Holdings while the IRA LLC is named Higley Properties, LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/21/2022 ADDRESS: 1470 NW Glisan Street, Apt 1205, Portland OR 97209, United States DESCRIPTION: Pay property taxes, hire and fire vendors to maintain the property along with interact with the county as the Registered Agent 3) FAMILY MATTERS, LLC POSITION: Owner NATURE: Guidance, Coaching & Crisis Management Triaging Financial, Legal & Communications INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/28/2023 ADDRESS: 5331 S MacAdam Avenue, Suite 258-717, Portland OR 97239, United States DESCRIPTION: Family, Shareholder Objectives, Priorities, Timeline Facilitating Updates & Administrative Needs To Maximize Clarity & Relationships During Crisis & Critical Moments In Sync w / Asset/Business Valuation Projections via Metric Targets / Thresholds In Sync w/ Compensation Plans & Repeat.... 4) FLAVORS, LLC POSITION: Owner NATURE: Medicinal dietary health supplements providing ease, comfort for pain management through natural organic eatables. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/13/2021 ADDRESS: 5331 S MacAdam Avenue, Suite 258-717, Portland OR 97239, United States DESCRIPTION: Medicinal dietary health supplements providing ease, comfort for pain management through natural organic eatables. 5) SEQUENCE PDX, LLC POSITION: Owner NATURE: Project Management. Administrative Services, Event Planning, Family Offsites, Communication, Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/10/2022 ADDRESS: 5331 S MacAdam Avenue, Suite 258-717, Portland OR 97239, United States DESCRIPTION: Project Management. Administrative Services, Event Planning, Family Offsites, Communication, Coaching 6) HIGLEY FINANCIAL LLC POSITION: 1099 Lion Street Financial NATURE: Investment Advisor Services, Financial Planning, Corporate Retirement Advisor, Insurance Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 80 START DATE: 08/17/2018 ADDRESS: 5331 S MACADAM, Suite 258 717, Portland OR 97239, United States DESCRIPTION: Client services, communication, planning updates, deliverables, Follow-up tasks, general administration, compliance

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®

BD

CRD#: 1137

DES MOINES, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CA

CSENGE ADVISORY GROUP, LLC

CRD#: 131167 / SEC#: 801-72792

RIA

Registered Investment Advisory firm - (10/13/2011 Approved)

Florida

Registered Investment Advisory firm - (11/8/2011 Terminated)

Texas

Registered Investment Advisory firm - (11/15/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

RR

Series 9

Date: 9/26/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

CA

CSENGE ADVISORY GROUP, LLC

CRD#: 131167 / SEC#: 801-72792

RIA

Registered Investment Advisory firm - (10/13/2011 Approved)

Florida

Registered Investment Advisory firm - (11/8/2011 Terminated)

Texas

Registered Investment Advisory firm - (11/15/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4755 East Bay Drive, Clearwater, FL 33764

Mailing Address

Phone number

(727) 437-6000

Established

Firm type

Fiscal year end

# of Employees

79

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAG WRAP FEE PROGRAM (3/25/2025)

CAG ADV PART 2 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	14,643
AUM (Assets Under Management)	$ 2,882,684,461

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 O. Higley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LION STREET ADVISORS, LLC

LION STREET FINANCIAL, LLC

TPG FINANCIAL ADVISORS, LLC

GENEOS WEALTH MANAGEMENT, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

PIPER SANDLER & CO.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP SECURITIES

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

CSENGE ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/2003

Series 63

Date: 1/25/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/1/1993

Series 6

Date: 1/29/1991

Series 10

Date: 1/5/2001

Series 9

Date: 9/26/2000

Current Firm

CSENGE ADVISORY GROUP, LLC

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CSENGE ADVISORY GROUP, LLC

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