Shawn B. Davis
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.
Shawn Bruce Davis was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 1998. Shawn had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2016 - February 12, 2019
UNCOMMON CAPITAL, LLC
February 21, 2014 - May 2, 2017
INDEPENDENT FINANCIAL GROUP, LLC
February 20, 2014 - May 2, 2017
INDEPENDENT FINANCIAL GROUP, LLC
August 20, 2012 - January 31, 2014
WFG ADVISORS, LP
August 17, 2012 - January 31, 2014
WFG INVESTMENTS, INC.
June 17, 2005 - August 20, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
June 17, 2005 - August 20, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 3, 2005 - June 17, 2005
OSAIC WEALTH, INC.
April 22, 2005 - June 17, 2005
OSAIC WEALTH, INC.
November 30, 2004 - April 22, 2005
QA3 FINANCIAL LLC
November 30, 2004 - April 22, 2005
QA3 FINANCIAL CORP.
September 26, 2001 - November 24, 2004
EAGLE STRATEGIES LLC
March 13, 1998 - November 24, 2004
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
UNCOMMON CAPITAL, LLC
CRD#: 226622 / SEC#: 801-113450
Contact information
Red Flags
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