Shawn E. Burns
Professional summary
Shawn Evan Burns was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shawn is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Shawn had worked at 8 firms, which includes SW FINANCIAL, CAPE SECURITIES INC., FIRST MIDWEST SECURITIES INC., J.P. TURNER & COMPANY L.L.C., WESTROCK ADVISORS INC., W.A. CAPITAL MARKETS, CANTELLA & CO. INC., GLOBAL CAPITAL MARKETS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2014 - May 6, 2016
SW FINANCIAL
August 24, 2012 - April 11, 2014
CAPE SECURITIES INC.
July 20, 2011 - August 24, 2012
SW FINANCIAL
June 12, 2009 - July 5, 2011
FIRST MIDWEST SECURITIES, INC.
May 16, 2007 - June 15, 2009
J.P. TURNER & COMPANY, L.L.C.
April 21, 2005 - May 16, 2007
WESTROCK ADVISORS, INC.
July 18, 2002 - April 25, 2005
J.P. TURNER & COMPANY, L.L.C.
May 4, 2001 - June 12, 2002
W.A. CAPITAL MARKETS
October 18, 2000 - April 6, 2001
CANTELLA & CO., INC.
January 1, 1999 - October 18, 2000
GLOBAL CAPITAL MARKETS, LLC
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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
