SS
Shawn C. Sauerwein
JANNEY MONTGOMERY SCOTT LLC
New Castle, PA 16105
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CRD#: 4464506
SS
Professional summary
Shawn Christopher Sauerwein, CFP®, who also goes by Shawn Christopher Saverwein, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in New Castle, Pennsylvania.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Shawn has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn Christopher Saverwein
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.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Christopher Sauerwein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shawn Christopher Sauerwein's 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®
Start date: 2016
Experience
Current
January 30, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 101 Nesbitt Rd. Suite 100, New Castle, PA 16105RIA
BD
CRD#: 463
New Castle, PA
Current
January 26, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 101 Nesbitt Rd. Suite 100, New Castle, PA 16105RIA
BD
CRD#: 463
New Castle, PA
Past
September 25, 2009 - January 30, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
CANFIELD, OH
Past
September 25, 2009 - January 30, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
CANFIELD, OH
Past
May 30, 2007 - September 25, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CANFIELD, OH
Past
May 25, 2007 - September 25, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CANFIELD, OH
Past
July 6, 2005 - May 29, 2007
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
SALEM, OH
Past
July 6, 2005 - May 29, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
SALEM, OH
Past
July 26, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
SALEM, OH
Past
September 11, 2002 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
January 14, 2002 - July 26, 2002
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MINNEAPOLIS, MN
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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/21/2019)
RR
Alaska(4/30/2020)
RR
Arizona(7/20/2017)
RR
Arkansas(7/20/2017)
RR
California(7/20/2017)
RR
Colorado(7/11/2018)
RR
Connecticut(7/20/2017)
RR
Delaware(1/10/2019)
RR
District of Columbia(4/30/2020)
RR
Florida(1/26/2012)
RR
Georgia(1/26/2012)
RR
Hawaii(4/30/2020)
RR
Idaho(4/30/2020)
RR
Illinois(4/12/2012)
RR
Indiana(7/20/2017)
RR
Iowa(3/4/2020)
RR
Kansas(5/29/2019)
RR
Kentucky(5/6/2016)
RR
Louisiana(4/30/2020)
RR
Maine(7/20/2017)
RR
Maryland(7/20/2017)
RR
Massachusetts(7/20/2017)
RR
Michigan(11/16/2016)
RR
Minnesota(7/14/2017)
RR
Mississippi(4/30/2020)
RR
Missouri(7/20/2017)
RR
Montana(4/30/2020)
RR
Nebraska(4/30/2020)
RR
Nevada(7/20/2017)
RR
New Hampshire(8/14/2018)
RR
New Jersey(7/20/2017)
RR
New Mexico(7/20/2017)
RR
New York(4/12/2012)
RR
North Carolina(7/18/2017)
RR
North Dakota(4/30/2020)
RR
Ohio(1/26/2012)
IAR
Ohio(1/30/2012)
RR
Oklahoma(4/30/2020)
RR
Oregon(4/30/2020)
RR
Pennsylvania(1/26/2012)
IAR
Pennsylvania(2/14/2013)
RR
Rhode Island(4/30/2020)
RR
South Carolina(4/11/2012)
RR
South Dakota(7/23/2019)
RR
Tennessee(4/9/2012)
RR
Texas(7/14/2017)
IAR
Texas(4/27/2018)
RR
Utah(1/26/2012)
RR
Vermont(4/30/2020)
RR
Virginia(7/20/2017)
RR
Washington(8/30/2019)
RR
West Virginia(4/12/2017)
RR
Wisconsin(4/30/2020)
RR
Wyoming(4/30/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
