Shane R. Dawe

PACIFIC SELECT DISTRIBUTORS

Newport Beach, CA 92660

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CRD#: 4213579

Professional summary

Shane Richard Dawe, who also goes by Shane R Dawe, Shane Dawe, is a registered financial professional currently at PACIFIC SELECT DISTRIBUTORS, LLC located in Newport Beach, California.

Shane is registered as a RR (Registered Representative) and started their career in finance in 2000. Shane has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shane R Dawe | Shane Dawe

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 Shane Richard Dawe'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

October 28, 2024 - Present

PACIFIC SELECT DISTRIBUTORS, LLC

Office #1: 700 Newport Center Drive, Newport Beach, CA 92660

CRD#: 4452

Newport Beach, CA

Past

December 18, 2017 - October 2, 2024

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

October 23, 2006 - October 27, 2008

GLOBAL PORTFOLIO STRATEGIES, INC.

RIA

CRD#: 105812

HARTFORD, CT

Past

April 30, 2005 - December 13, 2017

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

HARTFORD, CT

Past

January 16, 2002 - April 30, 2005

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

RIA

CRD#: 40596

HARTFORD, CT

Past

December 14, 2000 - April 30, 2005

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

State Registrations and Notice Filings

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

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

Connecticut
(10/28/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/4/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/7/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452 / SEC#: , 8-15264

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

700 Newport Center Drive, Newport Beach, CA 92660-6397

Mailing Address

700 Newport Center Drive, Newport Beach, CA 92660-6397

Phone number

(949) 219-6579

Established

Delaware since 01/01/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PACIFIC LIFE INSURANCE COMPANY	PARENT OF APPLICANT
DARE, BARBARA ALYCE	VICE PRESIDENT	5074108
KISSEL, GEOFFREY P	CHIEF EXECUTIVE OFFICER	7499710
LA ROQUE, SUZANNE MARIE	ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	4222767
SMITH, TREVOR TIMOTHY	VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER	4844953
YAMAUCHI, STARLA CHIN	VICE PRESIDENT, CORPORATE SECRETARY	7721024

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.

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Advisor Monitoring

Firm Stability Insights

Shane R. Dawe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shane Richard Dawe's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN CENTURY INVESTMENT SERVICES INC.

GLOBAL PORTFOLIO STRATEGIES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/4/2002

Series 63

Date: 1/16/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2000

Series 24

Date: 5/7/2007

FINRA

Current Firm

PACIFIC SELECT DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PACIFIC SELECT DISTRIBUTORS, LLC

TRUST BUT VERIFY

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