Shawn M. Loddy
Professional summary
Shawn Michael Loddy is a registered financial advisor currently at SML ADVISORY located in Rio Rancho, New Mexico.
Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Shawn has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Michael Loddy's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 26, 2015 - Present
SML ADVISORY
November 21, 2007 - July 31, 2015
REGAL ADVISORY SERVICES, INC.
November 21, 2007 - July 31, 2015
REGAL SECURITIES, INC.
December 21, 2005 - November 30, 2007
SCF INVESTMENT ADVISORS, INC.
September 8, 2005 - November 30, 2007
SCF SECURITIES, INC.
December 10, 2004 - August 2, 2005
WAVELAND CAPITAL PARTNERS LLC
June 17, 2004 - December 6, 2005
ASSET MANAGEMENT STRATEGIES, L.L.C.
October 6, 2000 - June 4, 2004
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/26/2015)
(3/27/2023)
Exams
Current Firm
SML ADVISORY
CRD#: 275028 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 1,200,252 |
Red Flags
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