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SB

Shawn T. Bromley

VICTORY CAPITAL SERVICES
San Antonio, TX 78256
Some features on this profile are disabled
CRD#: 4080228
SB

Professional summary

Shawn Thomas Bromley, who also goes by Shawn Thomas Bromley, Shawn Bromley, is a registered financial professional currently at VICTORY CAPITAL SERVICES, INC. located in San Antonio, Texas.

Shawn is registered as a RR (Registered Representative) and started their career in finance in 2000. Shawn has worked at 11 firms and has passed the Series 66, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shawn Thomas Bromley | Shawn Bromley

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shawn Thomas Bromley's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 1, 2025 - Present

VICTORY CAPITAL SERVICES, INC.

Office #1: 15935 La Cantera Parkway, San Antonio, TX 78256
BD
CRD#: 37059
San Antonio, TX
Past

November 15, 2023 - April 25, 2025

AMUNDI ASSET MANAGEMENT US, INC.

RIA
CRD#: 107719
BOSTON, MA
Past

October 17, 2023 - April 1, 2025

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

April 13, 2022 - October 16, 2023

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

February 9, 2018 - December 31, 2020

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Corona del Mar, CA
Past

July 26, 2010 - January 22, 2018

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

January 6, 2010 - July 19, 2010

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

RIA
CRD#: 152237
PHILADELPHIA, PA
Past

January 5, 2010 - July 19, 2010

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

July 10, 2007 - December 31, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA
CRD#: 145
ROCHESTER, MI
Past

March 2, 2007 - December 31, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

May 7, 2004 - July 22, 2005

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

January 17, 2000 - August 11, 2005

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Illinois
(4/1/2025)
RR
Michigan
(4/1/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/30/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/7/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/14/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VC
VICTORY CAPITAL SERVICES, INC.
CHS INVESTMENT SERVICES, INC. | VICTORY INCOME INVESTORS | VICTORY FUNDS | VICTORY CAPITAL SERVICES, INC. | VICTORY CAPITAL ADVISERS, INC. | TRIVALENT INVESTMENTS | THE ONE GROUP SERVICES COMPANY | SYCAMORE CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | ONE GROUP SERVICES COMPANY (THE) | OGSC DISTRIBUTOR, INC. | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | INTEGRITY ASSET MANAGEMENT

CRD#: 37059 / SEC#: , 8-47577

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Phone number
(216) 898-2400
Established
Delaware since 06/03/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VICTORY CAPITAL OPERATING, LLCSOLE SHAREHOLDER
INKS, DONALD ANTHONYCHIEF OPERATIONS OFFICER2311245
MATHES, CHARLES BCHIEF COMPLIANCE OFFICER5980160
POLICARPO, MICHAEL DENNIS IIPRESIDENT4316912
PONTE, CHRISTOPHER ANTONICFO/FINOP5968469

Disclosures

Regulatory Event1

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.

Company Information

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059San Antonio, TX 78256

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