Ryan T. Shaughnessy

THE MOSAIC FINANCIAL GROUP

CHICAGO, IL 60611

Some features on this profile are disabled

CRD#: 4299081

Professional summary

Ryan Thomas Shaughnessy, CFP®, who also goes by Ryan Thomads Shaughnessy, is a registered financial advisor currently at THE MOSAIC FINANCIAL GROUP, LLC located in Chicago, Illinois.

Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Ryan has worked at 2 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ryan Thomads Shaughnessy

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) - RIA

Click below to view Ryan Thomas Shaughnessy'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

December 15, 2010 - Present

THE MOSAIC FINANCIAL GROUP, LLC

Office #1: 330 N. Wabash Suite 1650, Chicago, IL 60611

RIA

CRD#: 109816

CHICAGO, IL

Past

January 4, 2005 - November 12, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ORLAND PARK, IL

Past

February 16, 2001 - November 12, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ORLAND PARK, IL

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".

THE MOSAIC FINANCIAL GROUP, LLC

CRD#: 109816 / SEC#: 801-58120

RIA

Registered Investment Advisory firm - (11/17/2000 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(12/15/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/31/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/15/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/15/2001

General Securities Representative Examination

Current Firm

THE MOSAIC FINANCIAL GROUP, LLC

CRD#: 109816 / SEC#: 801-58120

RIA

Registered Investment Advisory firm - (11/17/2000 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

303 E. Wacker Drive Suite 1675, Chicago, IL 60601

Mailing Address

Phone number

(312) 255-5490

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2 BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	569
AUM (Assets Under Management)	$ 898,494,961

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/27/2024	Cover Page	Report
12/11/2023	Cover Page	Report
02/14/2023	Cover Page	Report

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ryan T. Shaughnessy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Thomas Shaughnessy's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE MOSAIC FINANCIAL GROUP, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

THE MOSAIC FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/31/2004

Series 63

Date: 3/15/2001

Series 7

Date: 2/15/2001

Current Firm

THE MOSAIC FINANCIAL GROUP, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE MOSAIC FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Similar Advisors