Shawn P. Hogan
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 Patrick Hogan was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2002. Shawn had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2016 - November 4, 2016
THORNBURG INVESTMENT MANAGEMENT INC
August 20, 2015 - November 4, 2016
THORNBURG SECURITIES LLC
June 17, 2011 - August 3, 2015
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 28, 2002 - June 14, 2011
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
Primary Firm SEC Registration
THORNBURG INVESTMENT MANAGEMENT INC
CRD#: 106357 / SEC#: 801-17853
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
THORNBURG INVESTMENT MANAGEMENT INC
CRD#: 106357 / SEC#: 801-17853
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 705 |
| AUM (Assets Under Management) | $ 45,288,445,586 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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