Shane A. Dayton
LPL ENTERPRISE
South Jordan, UT
Some features on this profile are disabled
CRD#: 4095326
Professional summary
Shane A Dayton, CFP®, who also goes by Shane Alan Dayton, Shane Dayton, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in South Jordan, Utah.
Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Shane has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shane Alan Dayton | Shane Dayton
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.
COMPASS INSURANCE ADVISORS POSITION: agent NATURE: I am no longer affiliated with this business and have not been since before starting with Allstate. I sold Market place health insurance. I will occasionally receive a trail on commissions.Less then a $100every few months. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2018 ADDRESS: 14039 s minuteman dr, draper UT 84020, United States DESCRIPTION: No duties with the company as I am longer associated with them.
CRS (Client Relationship Summary) - RIA
Click below to view Shane A Dayton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shane A Dayton'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®
CFP®
Start date: 2015
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
South Jordan, UT
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
South Jordan, UT
Past
March 28, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
South Jordan, UT
Past
March 27, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
South Jordan, UT
Past
January 8, 2021 - October 7, 2022
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Holladay, UT
Past
January 6, 2021 - October 7, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Holladay, UT
Past
February 26, 2019 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
SO. JORDAN, UT
Past
February 26, 2019 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
SO. JORDAN, UT
Past
November 15, 2017 - October 22, 2018
MORGAN STANLEY
RIA
CRD#: 149777
SOUTH JORDAN, UT
Past
November 14, 2017 - October 22, 2018
MORGAN STANLEY
BD
CRD#: 149777
SOUTH JORDAN, UT
Past
June 7, 2017 - July 6, 2017
OSAIC WEALTH, INC.
BD
CRD#: 23131
SOUTH JORDAN, UT
Past
January 21, 2016 - May 10, 2017
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SALT LAKE CITY, UT
Past
September 28, 2006 - May 10, 2017
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SALT LAKE CITY, UT
Past
January 9, 2003 - June 3, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 9, 2003 - June 3, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
March 8, 2001 - October 31, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
January 2, 2000 - June 30, 2000
MONY SECURITIES CORPORATION
BD
CRD#: 4386
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
Idaho(9/10/2025)
RR
Utah(11/14/2024)
IAR
Utah(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
