Shawn P. Brace
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 Phillip Brace was a registered financial advisor .
Shawn is a previously registered financial advisor and started their career in finance in 2001. Shawn had worked at 8 firms and has passed the Series 65, Series 63, Series 31 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
August 9, 2007 - April 1, 2008
NEW ENGLAND SECURITIES
July 23, 2007 - April 1, 2008
NEW ENGLAND SECURITIES
December 7, 2006 - July 20, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
December 7, 2006 - July 20, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
January 3, 2006 - December 6, 2006
JESUP & LAMONT ADVISORS
January 3, 2006 - December 6, 2006
EMPIRE FINANCIAL GROUP, INC.
February 3, 2004 - January 24, 2006
WADDELL & REED
February 3, 2004 - January 24, 2006
WADDELL & REED
November 5, 2003 - January 8, 2004
A. G. EDWARDS & SONS, INC.
November 4, 2003 - January 8, 2004
A. G. EDWARDS & SONS, INC.
April 25, 2003 - November 19, 2003
PARK AVENUE SECURITIES LLC
November 20, 2001 - January 17, 2003
MORGAN STANLEY DW INC.
November 19, 2001 - January 17, 2003
MORGAN STANLEY DW INC.
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
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
