Shaun J. Christensen
Professional summary
Shaun Jay Christensen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shaun is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Shaun had worked at 6 firms, which includes WADDELL & REED, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, TRANSGLOBAL CAPITAL CORPORATION, NATIONAL SECURITIES CORPORATION, THE BOSTON GROUP.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2008 - August 16, 2010
WADDELL & REED
May 12, 2008 - August 16, 2010
WADDELL & REED
January 2, 2004 - May 9, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 26, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 26, 2003 - May 9, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
January 24, 2003 - February 7, 2003
IDS LIFE INSURANCE COMPANY
January 24, 2003 - February 7, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 2002 - June 28, 2002
IDS LIFE INSURANCE COMPANY
May 15, 2002 - June 28, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
April 17, 2002 - June 28, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
October 15, 1998 - January 23, 2001
TRANSGLOBAL CAPITAL CORPORATION
July 24, 1998 - September 4, 1998
NATIONAL SECURITIES CORPORATION
July 16, 1998 - July 24, 1998
THE BOSTON GROUP
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
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