SV
Shawn L. Valentine
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CRD#: 4632973
SV
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 Lee Valentine, who also goes by Shawn Lee Sykes-valentine, Shawn Terpening, Shawn Toulson, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2003. Shawn had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Shawn Lee Sykes-Valentine | Shawn Terpening | Shawn Toulson
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.
CORNERSTONE RETIREMENT & ASSET MANAGEMENT - DBA INSURANCE SALES POSITION: Agent NATURE: Insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/01/2021 ADDRESS: 1049 Washington Ave, Washington Court House OH 43160 DESCRIPTION: Retail sales of insurance products including life insurance and annuities RENTAL PROPERTY/OFFICE SPACE POSITION: owner NATURE: Rental INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2014 ADDRESS: 1049 Washington Ave, Washington Court House OH 43160 DESCRIPTION: This is my office space and the secondary unit is used as a rental CORNERSTONE RETIREMENT & ASSET MANAGEMENT POSITION: Financial Advisor/Owner NATURE: Financial Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/18/2016 ADDRESS: 1049 Washington Ave, Washington Court House OH 43160 DESCRIPTION: Utilizing various investment vehicles and risk management products to fulfillthe needs of a client ERA MARTIN & ASSOCIATES POSITION: Realtor NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017 ADDRESS: 159 E. Main St, Chillicothe OH DESCRIPTION: Realtor. I list property for sale andassist buyers in finding a home to purchase. ROCKHILL FARM POSITION: Owner NATURE: Mini Farm INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2015 ADDRESS: 235 Laggerham Ln, Frankfort OH 45628 DESCRIPTION: Animal Husbandry and crop production
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 7, 2021 - December 31, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
WASHINGTON COURT HOUSE, OH
Past
October 7, 2021 - December 31, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WASHINGTON COURT HOUSE, OH
Past
July 21, 2016 - August 11, 2017
KANU ASSET MANAGEMENT, LLC
RIA
CRD#: 168070
Washington Court House, OH
Past
January 21, 2016 - October 7, 2021
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
Washington Court House, OH
Past
January 18, 2016 - October 7, 2021
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
Washington Court House, OH
Past
January 31, 2014 - January 20, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LANCASTER, OH
Past
January 31, 2014 - January 20, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LANCASTER, OH
Past
May 4, 2007 - February 4, 2014
EDWARD JONES
RIA
CRD#: 250
WASHINGTON CT HS, OH
Past
May 3, 2007 - February 4, 2014
EDWARD JONES
BD
CRD#: 250
WASHINGTON CT HS, OH
Past
December 11, 2006 - April 30, 2007
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
COLUMBUS, OH
Past
December 8, 2006 - April 30, 2007
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
COLUMBUS, OH
Past
August 30, 2005 - November 28, 2006
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
CHILLICOTHE, OH
Past
August 29, 2005 - November 28, 2006
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
CHILLICOTHE, OH
Past
March 30, 2005 - September 1, 2005
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
CHILLICOTHE, OH
Past
March 30, 2005 - September 1, 2005
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
December 7, 2004 - April 2, 2005
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
CANTON, OH
Past
December 7, 2004 - April 2, 2005
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
October 10, 2003 - October 11, 2004
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
CHILLICOTHE, OH
Past
October 7, 2003 - October 11, 2004
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
June 13, 2003 - October 21, 2003
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SA
SECURITIES AMERICA ADVISORS, INC.
1865 WEALTH ADVISORS AT BANK ON BUFFALO | BREITENFELDT GROUP | BREIDENBAUGH FINANCIAL | BRECEK AND YOUNG FINANCIAL SERVICES | BRASS CITY FINANCIAL | BRANCH DEVELOPMENT PARTNERS | BRADY INVESTMENTS & WEALTH PLANNING | BRADY FINANCIAL | BRADFORD INVESTMENT SERVICES | BRADFORD CAPITAL GROUP | BRADEN FINANCIAL SERVICES | BRAD WERNER & COMPANY | BPA FINANCIAL ADVISORS | BOZEMAN FINANCIAL ADVISORS | BOOTH FINANCIAL GROUP | BONGIOVANNI INSURANCE & FINANCIAL | BOND FINANCIAL NETWORK | BOLIVAR INVESTMENT SERVICES | BLUEMARK ADVISORS | BLUE CHIP FINANCIAL GROUP | BLUE CHIP FINANCIAL | BLOSSER FINANCIAL SERVICES | BLOOMFIELD HILLS ADVISORY | BLANCHARD WEALTH SOLUTIONS | BLAKENEY FINANCIAL GROUP | BLAKEMAN BRISTER PUTMAN FINANCIAL GROUP | BLADE FINANCIAL SERVICES | BLACKHAWK FINANCIAL ADVISORS, INC. | BLACK RIVER ASSOCIATES | BLACK OAK INVESTMENT COUNSEL, INC. | BLACK EARTH WEALTH MANAGEMENT | BJURSTROM WEALTH MANAGEMENT | BIXBY FINANCIAL SERVICES | BISON WEALTH STRATEGIES | BIRDS EYE WEALTH PLANNING | BIGSKY FINANCIAL PLANNING GROUP | BIGMAN CONSULTING SERVICES | BIG SKY FINANCIAL PLANNING GROUP | BIG SKY FINANCIAL | BIERMAIER FINANCIAL MANAGEMENT | BHL FINANCIAL SERVICES | BG&CFS, P | BETHEA, ANGST AND HICKS WEALTH MANAGEMNT | BETHEA, ANGST & HICKS | BETCHER FINANCIAL GROUP | BERRIN MANAGEMENT GROUP | BERNARDY FINANCIAL GROUP | BENSON FINANCIAL SERVICES | BENSON FINANCIAL GROUP | BENEFITS WEST | BEN CAIN & ASSOCIATES | BEAU MCNICHOLAS | BEARD FINANCIAL GROUP | BEACONPATH WEALTH MANAGEMENT | BEACH HOUSE WEALTH MANAGEMENT | BDM FINANCIAL ADVISORS | BCA FINANCIAL SERVICES | BC&I WEALTH MANAGEMENT | BAYSIDE FINANCIAL STRATEGIES | BAYPORT FINANCIAL | BAY VIEW CAPITAL | BAY POINTE WEALTH MANAGEMENT | BAY INVESTMENT GROUP | BARTLER WEALTH MANAGEMENT GROUP | BARONE FINANCIAL GROUP | BARNEY FINANCIAL SERVICES | BARKER FINANCIAL SERVICES | BARE WEALTH ADVISORS | BARBER FINANCIAL CO | BANKS WEALTH MANAGEMENT | BANK ON BUFFALO INVESTMENT ADVISORS | BALL WEALTH MANAGMENT | BALANCED WEALTH MANAGEMENT | BAILLIE & ASSOC WEALTH MANAGEMENT | BAILEY FINANCIAL SERVICES | BACKCOUNTRY INSURANCE SERVICES | AZEVEDO INVESTMENT CORPORATION | AXION FINANCIAL GROUP | AVH INVEST | AUGUSTINE FINANCIAL GROUP | ASTUTE WEALTH MANAGEMENT | ASTRA INVESTMENT SERVICES | ASSOCIATED INVESTOR SERVICES, INC. | ASSOCIATED FINANCIAL CONSULTANTS INC | ASSOCIATED FINANCIAL CONSULTANTS & INVES | ARMSTRONG ADVISORY GROUP | ARMSTRONG ADVISORY | ARKTOS WEALTH MANAGEMENT | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | ANTHONY GIULIANO | ANN M. MOROCCO | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON WEALTH PLANNING | AMS FINANCIAL GROUP | AMERIWEALTH RETIREMENT SERVICES | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN NATIONAL BANK WEALTH MANAGEMENT | AMANDA M. BONOMI, E.A., CFP | ALTSTATT FINANCIAL STRATEGIES | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPHA ONE | ALPHA FINANCIAL SERVICES | ALPHA & OMEGA FINANCIAL SOLUTIONS | ALLLISON WEALTH MANAGMENT | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLAIRE FINANCIAL STRATEGIES | ALL IN FINANCIAL | AGRIFAMILY FINANCIAL SOLUTIONS | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AFR FINANCIAL GROUP | AFR FINANCIAL | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCE FINANCIAL GROUP | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ACERRA & ASSOCIATES | ACCENTRA INVESTMENT SERVICES | ACACIA WEALTH MANAGEMENT | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. KRANITZ ASSOCIATES | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 3G FINANCIAL | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 20/20 WEALTH ADVISORS | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STRATEGIC WEALTH ADVISORS | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BAN...
CRD#: 110518 / SEC#: 801-45628
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Contact information
Main Address
12325 Port Grace Blvd., La Vista, NE 68128-8204
Mailing Address
P.o. Box 460001, Papillion, NE 68046
Phone number
(402) 399-9111
Established
Firm type
Fiscal year end
# of Employees
4,468
Regulatory assets under management
| Total Number of Accounts | 211,150 |
| AUM (Assets Under Management) | $ 40,420,443,233 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
