Shawn D. Stites

STITES FINANCIAL CONSULTING

WILTON, CA 95693

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CRD#: 4316676

Professional summary

Shawn David Stites is a registered financial advisor currently at STITES FINANCIAL CONSULTING located in Wilton, California.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Shawn has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

STITES FINANCIAL CONSULTING - Owner - Insurance sales of Life, Health, Disability and Long Term Care. - Roseville, CA - SINCE 01/01/2008 - INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn David Stites'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

June 20, 2018 - Present

STITES FINANCIAL CONSULTING

Office #1: 9516 Clay Station Road, Wilton, CA 95693

RIA

CRD#: 293058

WILTON, CA

Past

October 13, 2016 - August 16, 2019

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

Roseville, CA

Past

October 13, 2016 - September 30, 2019

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

Roseville, CA

Past

September 11, 2012 - November 18, 2016

SSN ADVISORY, INC.

RIA

CRD#: 126090

ROSEVILLE, CA

Past

September 11, 2012 - October 14, 2016

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

Roseville, CA

Past

September 9, 2009 - September 14, 2012

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

ELK GROVE, CA

Past

January 28, 2009 - September 14, 2012

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

ELK GROVE, CA

Past

August 13, 2008 - February 6, 2009

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SACRAMENTO, CA

Past

October 7, 2002 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SACRAMENTO, CA

Past

January 30, 2001 - October 9, 2002

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

STITES FINANCIAL CONSULTING

STITES FINANCIAL CONSULTING | STITES, SHAWN, DAVID

CRD#: 293058 / SEC#: 801-132438

RIA

Registered Investment Advisory firm - (4/17/2025 Approved)

California

Registered Investment Advisory firm - (5/21/2025 Terminated)

Idaho

Registered Investment Advisory firm - (4/21/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/21/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(7/6/2018)

IAR

Idaho
(3/14/2022)

IAR

Texas
(6/20/2018)

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: 8/26/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/1/2001

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: 1/29/2001

General Securities Representative Examination

Current Firm

STITES FINANCIAL CONSULTING

STITES FINANCIAL CONSULTING | STITES, SHAWN, DAVID

CRD#: 293058 / SEC#: 801-132438

RIA

Registered Investment Advisory firm - (4/17/2025 Approved)

California

Registered Investment Advisory firm - (5/21/2025 Terminated)

Idaho

Registered Investment Advisory firm - (4/21/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/21/2025 Terminated)

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Contact information

Main Address

919 Reserve Drive Suite 103, Roseville, CA 95678

Mailing Address

P.o. Box 149, Wilton, CA 95693

Phone number

(916) 601-1992

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B- STITES FINANCIAL CONSULTING (3/18/2025)

Regulatory assets under management

Total Number of Accounts	448
AUM (Assets Under Management)	$ 105,200,000

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

Shawn D. Stites

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn David Stites's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SSN ADVISORY, INC.

SECURITIES SERVICE NETWORK, LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

EDWARD JONES

Primary Firm SEC Registration

STITES FINANCIAL CONSULTING

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2009

Series 63

Date: 2/1/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2001

Current Firm

STITES FINANCIAL CONSULTING

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STITES FINANCIAL CONSULTING

TRUST BUT VERIFY

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