Shawn K. Dicken
Professional summary
Shawn Kristi Dicken was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shawn is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Shawn had worked at 6 firms, which includes G - W BROKERAGE GROUP INC., W R RICE FINANCIAL SERVICES INC., CHELSEA FINANCIAL SERVICES, CETERA INVESTMENT SERVICES LLC, PRUCO SECURITIES LLC., HANTZ FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2012 - May 31, 2013
G - W BROKERAGE GROUP, INC.
December 2, 2010 - July 3, 2012
W R RICE FINANCIAL SERVICES, INC.
November 25, 2009 - January 15, 2010
CHELSEA FINANCIAL SERVICES
May 13, 2005 - September 10, 2009
CETERA INVESTMENT SERVICES LLC
January 19, 2005 - May 17, 2005
PRUCO SECURITIES, LLC.
October 14, 2002 - August 26, 2004
HANTZ FINANCIAL SERVICES, INC.
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
G - W BROKERAGE GROUP, INC.
CRD#: 22691 / SEC#: , 8-39922
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| G-W FINANCIAL GROUP, INC. | SHAREHOLDER | |
| WOOTERS, EDWARD JOSEPH | PRESIDENT/CCO | 1405652 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
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.
