ST
Shawn E. Thomas
INTRUA FINANCIAL
Brookfield, WI 53045
Some features on this profile are disabled
CRD#: 2253770
ST
Professional summary
Shawn Edward Thomas, who also goes by Shawn E Thomas, is a registered financial advisor currently at INTRUA FINANCIAL located in Brookfield, Wisconsin and LPL FINANCIAL LLC located in Brookfield, Wisconsin.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Shawn has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn E Thomas
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) 7.31.2018 - ACT IN FIDUCIARY CAPACITY - THOMAS, SHAWN E & KIM TRUST - 0% - 28430 JOANIE LANE, WATERFORD, WI 53185 2) 7.31.2018 - NON-VARIABLE INSURANCE TRAILS ONLY - GCG FINANCIAL HEALTH DIVISION - 1% - THREE PARKWAY NORTH STE 500, DEERFIELD, IL 3) 7.31.2018 - ACT IN A FIDUCIARY CAPACITY - SHAWN E THOMAS & KIM M THOMAS REVOACABLE TRUST - 0% - 28430 JOANIE LANE, WATERFORD, WI 53185 4) 7.31.2018 - DBA FOR LPL BUSINESS - FREEDOM WEATLH ALLIANCE - 100% - BROOKFIELD, WI 5) 7.31.2018 - NON-VARIABLE INSURANCE - WINDY CITY FINANCIAL PARTNERS - 20% - 2500 WEST HIGGINS RD STE 360, HOFFMAN ESTATES, IL 60169. 6) 12/19/2023 - Intrua Financial LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 10/01/2023 - 100 Hours Per Month/ 5 Hours During Trading - I provide investment advisory services through Intrua Financial LLC, an independent investment advisor firm. I started this business activity in 12/2023. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7) 01/25/2024 - Freedom Wealth Alliance - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 11/01/2023 - 160 Hours Per Month/ 140 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Edward Thomas's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 13, 2023 - Present
INTRUA FINANCIAL
Office #1: 675 North Barker Road Suite 220, Brookfield, WI 53045RIA
CRD#: 281554
Brookfield, WI
Current
July 31, 2018 - Present
LPL FINANCIAL LLC
Office #1: 675 N. Barker Road Ste. 220, Brookfield, WI 53045RIA
BD
CRD#: 6413
Brookfield, WI
Past
July 31, 2018 - December 12, 2023
FREEDOM WEALTH ALLIANCE
RIA
CRD#: 170456
BROOKFIELD, WI
Past
July 28, 2017 - August 3, 2018
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
WAWAUTOSA, WI
Past
July 28, 2017 - August 3, 2018
FSC SECURITIES CORPORATION
BD
CRD#: 7461
WAWAUTOSA, WI
Past
March 25, 2017 - August 1, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Milwaukee, WI
Past
March 25, 2017 - August 1, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Milwaukee, WI
Past
October 22, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
Milwaukee, WI
Past
May 30, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
Milwaukee, WI
Past
July 31, 1992 - June 3, 2014
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
BANNOCKBURN, IL
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".
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
Registered Investment Advisory firm - (10/23/2015 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/25/2019)
RR
Florida(2/23/2021)
RR
Georgia(9/12/2023)
RR
Michigan(4/25/2019)
RR
Minnesota(7/5/2022)
RR
Wisconsin(7/31/2018)
IAR
Wisconsin(11/13/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
Registered Investment Advisory firm - (10/23/2015 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3737 Buffalo Speedway Suite 400, Houston, TX 77098
Mailing Address
Phone number
(713) 355-9910
Established
Firm type
Fiscal year end
# of Employees
48
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,051 |
| AUM (Assets Under Management) | $ 1,212,765,982 |
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.
Company Information
INTRUA FINANCIAL
CRD#: 281554Brookfield, WI 53045TRUST BUT VERIFY
Monitor Shawn Thomas
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
