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.

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®

AIF^®

Accredited Investment Fiduciary

Experience

Past

October 31, 2025 - November 3, 2025

CSENGE ADVISORY GROUP, LLC

RIA

CRD#: 131167

Portland, OR

Past

August 3, 2018 - October 31, 2025

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

Portland, OR

Past

August 2, 2018 - October 31, 2025

LION STREET FINANCIAL, LLC

BD

CRD#: 165828

Portland, OR

Past

February 10, 2011 - May 31, 2018

TPG FINANCIAL ADVISORS, LLC

RIA

CRD#: 141153

PORTLAND, OR

Past

January 24, 2011 - June 5, 2018

GENEOS WEALTH MANAGEMENT, INC.

BD

CRD#: 120894

PORTLAND, OR

Past

August 25, 2009 - January 25, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PORTLAND, OR

Past

March 11, 2009 - January 25, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

PORTLAND, OR

Past

March 31, 2003 - June 5, 2008

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

PORTLAND, OR

Past

April 9, 2001 - June 5, 2008

WELLS FARGO INVESTMENTS, LLC

BD

CRD#: 10582

BEND, OR

Past

July 14, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD

CRD#: 17438

SAN FRANCISCO, CA

Past

April 7, 2000 - July 6, 2000

PIPER SANDLER & CO.

BD

CRD#: 665

MINNEAPOLIS, MN

Past

September 3, 1997 - May 12, 2000

U.S. BANCORP INVESTMENTS, INC.

BD

CRD#: 17868

SAINT PAUL, MN

Past

September 2, 1993 - September 3, 1997

U.S. BANCORP SECURITIES

BD

CRD#: 17439

PORTLAND, OR

Past

January 31, 1991 - July 19, 1995

PRINCIPAL SECURITIES, INC.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/16/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 1/25/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 9/1/1993

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 1/29/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 10

Date: 1/5/2001

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

TRUST BUT VERIFY

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