Shawn P. Adamo

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CRD#: 2207700

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 Pierre Adamo was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 1992. Shawn had worked at 11 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 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

April 19, 2010 - February 7, 2014

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

August 2, 2005 - April 16, 2010

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

RAHWAY, NJ

Past

July 11, 2005 - April 16, 2010

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

RAHWAY, NJ

Past

October 22, 2004 - March 15, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

WESTFIELD, NJ

Past

May 20, 2004 - March 15, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

April 17, 2003 - May 26, 2004

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

April 16, 1999 - February 3, 2003

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

May 13, 1998 - April 16, 1999

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

January 23, 1997 - May 19, 1998

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

January 1, 1996 - November 19, 1996

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

July 21, 1995 - January 3, 1996

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

June 7, 1995 - July 21, 1995

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

January 13, 1995 - April 25, 1995

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

January 31, 1992 - December 7, 1993

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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 66

Date: 10/18/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/28/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/30/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/30/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/1996

General Securities Principal Examination

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida

Registered Investment Advisory firm - SEC (11/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/31/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (1/6/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/16/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/21/2015 Terminated)

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

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

820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528

Mailing Address

820 Tyvola Road-suite 104, Charlotte, NC 28217

Phone number

(704) 527-7873

Established

North Carolina since 12/06/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BLACK, JONATHAN HARRISON	PRESIDENT/CEO/CCO/FINOP	4975641
PLEXICO, RONALD DAVID JR	PRINCIPAL	2122340

Disclosures

Regulatory Event	3
Arbitration	3

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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Firm Stability Insights

Shawn P. Adamo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

C. J. M. PLANNING CORP.

INVEST FINANCIAL CORPORATION

CUNA BROKERAGE SERVICES, INC.

IFMG SECURITIES, INC.

FIRST UNION BROKERAGE SERVICES, INC.

MARKETING ONE SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

DIME SECURITIES, INC.

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2004

Series 63

Date: 5/28/2004

Series 7

Date: 1/30/1995

Series 6

Date: 1/30/1992

Series 24

Date: 1/2/1996

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

TRUST BUT VERIFY

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