Shawn D. Worman

KESTRA ADVISORY SERVICES

Mt Vernon, IN 47620

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CRD#: 2535743

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.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Dewayne Worman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 8, 2020 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 309main St, Mt Vernon, IN 47620

RIA

CRD#: 283330

Mt Vernon, IN

Current

September 8, 2020 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 309 Main Street, Mt Vernon, IN 47620

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

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.

CRD#: 628

MT VERNON, IN

Past

September 16, 1994 - November 15, 1994

PRUCO SECURITIES, LLC.

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".

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.

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

Alabama
(8/22/2024)

Connecticut
(9/8/2020)

Florida
(9/8/2020)

Illinois
(9/8/2020)

Indiana
(9/8/2020)

IAR

Indiana
(9/8/2020)

Kentucky
(9/8/2020)

Minnesota
(9/8/2020)

Texas
(10/31/2022)

IAR

Texas
(7/27/2023)

Virginia
(9/8/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/30/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/20/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/29/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/20/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

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	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Shawn D. Worman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Dewayne Worman's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2006

Series 63

Date: 8/20/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/29/2004

Series 6

Date: 8/20/2001

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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