Steven D. Shin

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CRD#: 2773764

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.

Steven Dongsoo Shin, who also goes by Steven Dong Soo Shin, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1998. Steven had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steven Dong Soo Shin

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 22, 2016 - July 23, 2025

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 110783

PHILADELPHIA, PA

Past

December 14, 2012 - October 26, 2015

AEGIS FINANCIAL CORPORATION

RIA

CRD#: 111587

MCLEAN, VA

Past

February 15, 2002 - February 11, 2004

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

November 20, 2001 - January 11, 2002

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

February 2, 1999 - January 3, 2000

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

August 12, 1998 - November 20, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 12, 1998 - November 20, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

CRD#: 110783 / SEC#: 801-27797

RIA

Registered Investment Advisory firm - (8/29/1986 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/13/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/11/1998

General Securities Representative Examination

Current Firm

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

CRD#: 110783 / SEC#: 801-27797

RIA

Registered Investment Advisory firm - (8/29/1986 Approved)

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Contact information

Main Address

1735 Market Street Suite 1800, Philadelphia, PA 19103

Mailing Address

Phone number

(215) 609-3500

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC - FORM ADV PART 2A BROCHURE (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,060
AUM (Assets Under Management)	$ 66,447,858,097

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

Steven D. Shin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AEGIS FINANCIAL CORPORATION

JEFFERIES LLC

CANACCORD GENUITY SECURITIES LLC

VANGUARD MARKETING CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/2012

Series 63

Date: 8/21/1998

Series 7

Date: 8/11/1998

Current Firm

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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