Shawna L. Choate
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.
Shawna Lynn Choate, who also goes by Shawna Lynn Roatch, was a registered financial professional .
Shawna is a previously registered financial professional and started their career in finance in 2012. Shawna had worked at 2 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2019 - January 14, 2020
CAMBRIA CAPITAL, LLC
August 8, 2012 - December 31, 2018
SPENCER EDWARDS, 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
Exams
Current Firm
CAMBRIA CAPITAL, LLC
CRD#: 133760 / SEC#: 801-112108, 8-66768
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 134 |
| AUM (Assets Under Management) | $ 10,552,928 |
Disclosures
| Regulatory Event | 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.
