Shane R. Dawe
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.
Shane Richard Dawe, who also goes by Shane R Dawe, Shane Dawe, was a registered financial professional .
Shane is a previously registered financial professional and started their career in finance in 2000. Shane had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2024 - July 10, 2026
PACIFIC SELECT DISTRIBUTORS, LLC
December 18, 2017 - October 2, 2024
AMERICAN CENTURY INVESTMENT SERVICES INC.
October 23, 2006 - October 27, 2008
GLOBAL PORTFOLIO STRATEGIES, INC.
April 30, 2005 - December 13, 2017
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 16, 2002 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
December 14, 2000 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, 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
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
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.
