SW
Shawn D. Worman
KESTRA ADVISORY SERVICES
Mt Vernon, IN 47620
Some features on this profile are disabled
CRD#: 2535743
SW
Shawn Dewayne WormanKESTRA ADVISORY SERVICES
Professional summary
Shawn Dewayne Worman is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Mt Vernon, Indiana and KESTRA INVESTMENT SERVICES, LLC located in Mt Vernon, Indiana.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Shawn has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
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.
Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Prkwy bldg 2 suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: principal, iar Start Date: 9/10/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Principal Name: Harmonie Wealth Group Investment Related: Yes Address: 206 Main St Mt Vernon IN 47620 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Registered Field Assistant; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: IAR Start Date: 9/10/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Principal and producer Name: Ash Brokerage for Fixed Annuities Investment Related: Yes Address: 888 S Harrison St Suite 900 Ft Wayne IN 46802 Nature of Business: Insurance Position, Title or Relationship: Principal/Wealth Advisor at Harmonie Wealth Group. I will be using Ash Brokerage to write Fixed annuity business. Start Date: 9/8/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Wealth Advisor for Harmonie Wealth Group Name: Harmonie Wealth Group Investment Related: No Address: 206 Main St Mt Vernon IN 47620 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: Owner Start Date: 1/25/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Owner. I would hire someone to manage the tax preparation business. Name: WN LLC POSITION: Owner and operator NATURE: Real Estate INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/28/2019 ADDRESS: 737 E Church St, New Harmony IN 47631, United States DESCRIPTION: Owner NAME: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/08/2020 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR NAME: ASH BROKERAGE FOR FIXED ANNUITIES POSITION: Principal/Wealth Advisor at Harmonie Wealth Group. I will be using Ash Brokerage to write Fixed annuity business. NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 4 START DATE: 09/08/2020 ADDRESS: 888 S Harrison St Suite 900, Ft Wayne IN 46802, United States DESCRIPTION: Wealth Advisor for Harmonie Wealth Group NAME: HARMONIE WEALTH GROUP POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 152 SECURITIES TRADING HOURS: 80 START DATE: 09/10/2020 ADDRESS: 206 Main St, Mt Vernon IN 47620, United States DESCRIPTION: Principal and producer Name: ONE NEW HARMONYPOSITION: Treasurer NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: 407 Tavern St PO Box 45, New Harmony IN 47631, United States DESCRIPTION: Pay bills, deposit checks and attend board meetings. Name: HARMONIE WEALTH GROUP POSITION: Owner NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/02/2026 ADDRESS: 733 E. 4th St, Mt Vernon IN 47620, United States DESCRIPTION: Owner.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Dewayne Worman'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
September 8, 2020 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 733 E 4th St, Mt Vernon, IN 47620RIA
CRD#: 283330
Mt Vernon, IN
Current
September 8, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 733 E 4th St, Mt Vernon, IN 47620BD
CRD#: 42046
Mt Vernon, IN
Past
June 29, 2010 - September 23, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
EVANSVILLE, IN
Past
June 29, 2010 - September 23, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
EVANSVILLE, IN
Past
December 15, 2006 - June 25, 2010
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
MT VERNON, IN
Past
August 21, 2001 - June 25, 2010
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
MT VERNON, IN
Past
September 16, 1994 - November 15, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
Alabama(8/22/2024)
RR
Connecticut(9/8/2020)
RR
Florida(9/8/2020)
RR
Illinois(9/8/2020)
RR
Indiana(9/8/2020)
IAR
Indiana(9/8/2020)
RR
Kentucky(9/8/2020)
RR
Minnesota(9/8/2020)
RR
Texas(10/31/2022)
IAR
Texas(7/27/2023)
RR
Virginia(9/8/2020)
Exams
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
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Loading...
Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
