Shawn Hampson
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.
Shawn Hampson, who also goes by Shawn Paul Hampson, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2001. Shawn had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2018 - March 5, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 31, 2018 - March 5, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 21, 2016 - February 7, 2018
ONEAMERICA SECURITIES, INC.
November 21, 2016 - February 7, 2018
ONEAMERICA SECURITIES, INC.
September 3, 2014 - November 2, 2016
VALIC FINANCIAL ADVISORS, INC.
September 3, 2014 - November 2, 2016
VALIC FINANCIAL ADVISORS, INC.
April 1, 2013 - September 11, 2014
ONEAMERICA SECURITIES, INC.
November 25, 2009 - September 11, 2014
ONEAMERICA SECURITIES, INC.
May 25, 2004 - September 23, 2009
SUMMIT BROKERAGE SERVICES, INC.
August 30, 2001 - May 31, 2002
HORACE MANN INVESTORS, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
