Shawn P. Mcclain
Professional summary
Shawn Patrick Mcclain MR., who also goes by Shawn Patrick Mcclain Mr., is a registered financial professional currently at NATIXIS DISTRIBUTION, LLC located in Waxhaw, North Carolina.
Shawn is registered as a RR (Registered Representative) and started their career in finance in 1993. Shawn has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shawn Patrick Mcclain MR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
January 16, 2009 - Present
NATIXIS DISTRIBUTION, LLC
September 25, 2003 - January 6, 2009
PRINCIPAL FUNDS DISTRIBUTOR, INC.
September 24, 2003 - September 24, 2003
WAMU INVESTMENTS, INC.
January 15, 1993 - August 19, 2003
ALLIANCEBERNSTEIN INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/12/2017)
(1/8/2025)
(1/12/2017)
(1/16/2009)
(1/4/2022)
(1/8/2025)
(1/8/2025)
(1/12/2017)
(1/16/2009)
(1/5/2018)
(1/16/2009)
(1/12/2017)
(1/5/2018)
Exams
FINRA
Current Firm
NATIXIS DISTRIBUTION, LLC
CRD#: 34754 / SEC#: , 8-46325
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS INVESTMENT MANAGERS, LLC | SOLE MEMBER | |
| GIUNTA, DAVID LAWRENCE | PRESIDENT, CHIEF EXECUTIVE OFFICER | 2290469 |
| LOUREIRO, ANTHONY DAVID | CHIEF COMPLIANCE OFFICER | 2087464 |
| PINASMITH, BEATRIZ ANA | EXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER | 2220599 |
| ROSH, MARILYN VINTON | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4206001 |
| TOBIN, SUSAN MCWHAN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL | 4649471 |
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.
