Shawn H. King

CETERA INVESTMENT ADVISERS LLC

MONROEVILLE, PA 15146

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CRD#: 2747306

Professional summary

Shawn Henry King is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Monroeville, Pennsylvania and CETERA INVESTMENT SERVICES LLC located in Monroeville, Pennsylvania.

Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Shawn has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 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.

1. RECEIVES COMPENSATION FOR REFERRALS TO FIRST NATIONAL BANK TRUST DEPARTMENT. 2. FIXED LIFE INSURANCE SALES OUTSIDE OF CETERA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Henry King'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

February 12, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4220 William Penn Highway, Monroeville, PA 15146

RIA

CRD#: 105644

MONROEVILLE, PA

Current

February 11, 2014 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 4220 William Penn Highway, Monroeville, PA 15146

CRD#: 15340

Monroeville, PA

Past

March 4, 2009 - February 13, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

MONROEVILLE, PA

Past

March 3, 2009 - February 13, 2014

LPL FINANCIAL LLC

CRD#: 6413

MONROEVILLE, PA

Past

March 26, 2003 - March 11, 2009

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

IRWIN, PA

Past

November 26, 2002 - March 11, 2009

INVEST FINANCIAL CORPORATION

CRD#: 12984

IRWIN, PA

Past

November 27, 2001 - November 29, 2002

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

January 4, 1999 - November 15, 2001

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

August 3, 1998 - January 4, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

May 26, 1998 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

December 15, 1997 - November 15, 2001

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

March 25, 1997 - December 15, 1997

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

August 9, 1996 - March 31, 1997

FAIRCHILD FINANCIAL GROUP, INC.

CRD#: 21404

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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

Arizona
(8/26/2021)

Delaware
(10/10/2017)

Florida
(2/11/2014)

Idaho
(4/27/2023)

Maryland
(2/14/2014)

Minnesota
(6/28/2016)

Mississippi
(5/7/2021)

North Carolina
(2/11/2014)

Ohio
(2/11/2014)

Pennsylvania
(2/12/2014)

IAR

Pennsylvania
(2/12/2014)

South Carolina
(2/11/2014)

Texas
(2/11/2014)

IAR

Texas
(1/12/2023)

West Virginia
(1/9/2019)

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 65

Date: 7/31/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1996

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: 8/8/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/18/2002

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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 H. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Henry King's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

BNY MELLON SECURITIES LLC

NATCITY INSURANCE SERVICES, INC.

IFMG SECURITIES, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

NATCITY INVESTMENTS, INC.

H.J. MEYERS & CO., INC.

FAIRCHILD FINANCIAL GROUP, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2001

Series 63

Date: 7/10/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/8/1996

Series 26

Date: 3/18/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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