SO
Shawn C. Orser
DBA SEASIDE FINANCIAL & INSURANCE SERVICES
Carlsbad, CA 92010
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CRD#: 2962642
SO
Professional summary
Shawn Christopher Orser, who also goes by Shawn C Orser, is a registered financial advisor currently at DBA SEASIDE FINANCIAL & INSURANCE SERVICES located in Carlsbad, California and FORTUNE FINANCIAL SERVICES, INC. located in Carlsbad, California.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Shawn has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn C Orser
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.
MAY EARN COMMISSIONS FROM INSURANCE COMPANIES FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND /OR DISABILITY INCOME INSURANCE PRODUCTS. SEASIDE FINANCIAL & INSURANCE SERVICES. SINCE 12/2009. INVESTMENT-RELATED. RIA - OCEANSIDE, CA. 200 HOURS/MONTH. 160 HOURS/MONTH DURING TRADING HOURS. Rep purchased Seaside from Annemarie Maxe, Shawn Orser is now owner Rep is a trustee on the Board of Directors for Collaborative Investment Series Trust. As trustee he oversee mutual fund and fund managers that are investing according to mandate. 4 hours per year, $2000 compensation
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Christopher Orser's 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®
NoneExperience
Current
October 20, 2017 - Present
DBA SEASIDE FINANCIAL & INSURANCE SERVICES
Office #1: 2888 Loker Ave East Suite 110, Carlsbad, CA 92010RIA
CRD#: 289985
Carlsbad, CA
Current
August 5, 2014 - Present
FORTUNE FINANCIAL SERVICES, INC.
Office #1: 2888 Loker Ave. Suite 302, Carlsbad, CA 92010BD
CRD#: 42150
Carlsbad, CA
Past
January 20, 2010 - May 23, 2018
SEASIDE FINANCIAL & INSURANCE SERVICES
RIA
CRD#: 132929
CARLSBAD, CA
Past
December 22, 2009 - August 6, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
NEW YORK, NY
Past
June 5, 2008 - April 1, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SAN DIEGO, CA
Past
May 17, 2007 - April 1, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SAN DIEGO, CA
Past
September 20, 2005 - October 31, 2006
SANDERS MORRIS LLC
BD
CRD#: 20580
NEW YORK, NY
Past
December 20, 2000 - February 9, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
DS
DBA SEASIDE FINANCIAL & INSURANCE SERVICES
DBA SEASIDE FINANCIAL & INSURANCE SERVICES | SEASIDE ADVISORY SERVICES, INC. | SEASIDE ADVISORY
CRD#: 289985 / SEC#: 801-112721
RIA
Registered Investment Advisory firm - (3/30/2018 Approved)California
Registered Investment Advisory firm - (9/25/2025 Approved)New York
Registered Investment Advisory firm - (10/17/2025 Approved)Texas
Registered Investment Advisory firm - (4/5/2018 Terminated)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.RR
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
RR
California(8/5/2014)
IAR
California(1/3/2018)
RR
Connecticut(1/2/2019)
IAR
Connecticut(3/10/2021)
RR
Florida(1/2/2025)
RR
Illinois(1/2/2025)
RR
Nevada(1/3/2025)
RR
New Jersey(1/2/2018)
RR
New Mexico(1/2/2025)
IAR
New York(10/17/2025)
IAR
Texas(10/20/2017)
RR
Texas(1/5/2021)
RR
Virginia(1/2/2025)
RR
Washington(10/12/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/30/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DBA SEASIDE FINANCIAL & INSURANCE SERVICES
DBA SEASIDE FINANCIAL & INSURANCE SERVICES | SEASIDE ADVISORY SERVICES, INC. | SEASIDE ADVISORY
CRD#: 289985 / SEC#: 801-112721
RIA
Registered Investment Advisory firm - (3/30/2018 Approved)California
Registered Investment Advisory firm - (9/25/2025 Approved)New York
Registered Investment Advisory firm - (10/17/2025 Approved)Texas
Registered Investment Advisory firm - (4/5/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2888 Loker Ave East Suite 110, Carlsbad, CA 92010
Mailing Address
Phone number
(760) 433-4632
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 354 |
| AUM (Assets Under Management) | $ 79,012,871 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
