Shayne Layton
Professional summary
Shayne Layton, CFP®, who also goes by Shayne Christopher Layton, Shayne Layton, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Carmichael, California and ASCENSUS BROKER DEALER SERVICES, LLC located in Newton, Massachusetts.
Shayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Shayne has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Shayne Layton's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2019 - Present
ASCENSUS INVESTMENT ADVISORS, LLC
June 10, 2019 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 95 Wells Avenue Suite 160, Newton, MA 02459March 18, 2015 - May 10, 2019
ALIGHT FINANCIAL SOLUTIONS, LLC
March 17, 2015 - May 10, 2019
ALIGHT FINANCIAL ADVISORS, LLC
March 5, 2013 - December 24, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
March 5, 2013 - December 24, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
April 25, 2012 - November 19, 2012
TD AMERITRADE, INC.
April 25, 2012 - November 19, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 25, 2012 - November 19, 2012
TD AMERITRADE, INC.
December 10, 2010 - April 13, 2012
U.S. BANCORP INVESTMENTS, INC.
November 9, 2010 - April 13, 2012
U.S. BANCORP INVESTMENTS, INC.
November 7, 2007 - October 1, 2009
PRINCIPAL FUNDS DISTRIBUTOR, INC.
January 21, 2004 - October 16, 2007
WAMU INVESTMENTS, INC.
January 15, 2004 - October 16, 2007
WAMU INVESTMENTS, INC.
April 12, 2002 - March 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2002 - March 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2001 - April 1, 2002
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632 / SEC#: 801-61492
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/10/2019)
(10/8/2019)
Exams
FINRA
Current Firm
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632 / SEC#: 801-61492
Contact information
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 11,649,896,048 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2024 | ||
| 01/30/2024 | ||
| 01/26/2023 |
Red Flags
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