Jameson J. Shin
Professional summary
Jameson Jeewon Shin was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jameson Jeewon Shin, who also goes by James J Shin, James Shin, Jameson Jee Won Shin, was a registered financial professional .
Jameson is a previously registered financial professional and started their career in finance in 1994. Jameson had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2017 - April 25, 2018
LPL FINANCIAL LLC
May 1, 2017 - April 25, 2018
LPL FINANCIAL LLC
September 30, 2014 - December 31, 2016
PRIVATE ADVISOR GROUP, LLC
December 16, 2013 - October 27, 2015
LPL FINANCIAL LLC
December 16, 2013 - January 28, 2017
LPL FINANCIAL LLC
January 3, 2011 - December 18, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - December 18, 2013
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 16, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 30, 2006 - May 20, 2008
WAMU INVESTMENTS, INC.
October 9, 2002 - May 20, 2008
WAMU INVESTMENTS, INC.
May 17, 2001 - October 16, 2002
RBC CAPITAL MARKETS, LLC
April 30, 2001 - October 16, 2002
RBC CAPITAL MARKETS, LLC
February 26, 1998 - May 29, 2001
WAMU INVESTMENTS, INC.
April 29, 1996 - October 2, 1998
MORGAN STANLEY DW INC.
November 28, 1995 - April 9, 1996
AMERIPRISE ADVISOR SERVICES, INC.
July 6, 1994 - September 21, 1994
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
