SM
Shawn J. Mccormick
CETERA INVESTMENT ADVISERS LLC
AVON, OH 44011
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CRD#: 4692925
SM
Professional summary
Shawn Jason Mccormick, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Avon, Ohio and CETERA ADVISORS LLC located in Avon, Ohio.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Shawn has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Jason Mccormick'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: 2010
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 35651 Detroit Road, Avon, OH 44011RIA
CRD#: 105644
AVON, OH
Current
May 27, 2005 - Present
CETERA ADVISORS LLC
Office #1: 35651 Detroit Road, Avon, OH 44011BD
CRD#: 10299
Avon, OH
Past
May 31, 2005 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
NORTH OLMSTED, OH
Past
February 17, 2004 - May 27, 2005
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
August 11, 2003 - November 24, 2003
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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(1/2/2025)
RR
Alaska(2/3/2025)
RR
Arizona(8/24/2009)
RR
California(5/27/2005)
RR
Colorado(7/23/2015)
RR
Connecticut(9/20/2016)
RR
Delaware(6/1/2010)
RR
District of Columbia(1/2/2025)
RR
Florida(5/27/2005)
RR
Georgia(10/8/2018)
RR
Illinois(2/22/2010)
RR
Indiana(8/17/2009)
RR
Kansas(7/10/2017)
RR
Kentucky(5/3/2013)
RR
Maryland(6/16/2006)
RR
Massachusetts(3/29/2016)
RR
Michigan(8/27/2012)
RR
Minnesota(1/4/2021)
RR
Missouri(6/19/2015)
RR
Nevada(9/9/2009)
RR
New Jersey(1/2/2025)
RR
New York(3/25/2015)
RR
North Carolina(9/11/2009)
RR
Ohio(5/27/2005)
IAR
Ohio(3/21/2024)
RR
Oregon(10/16/2020)
RR
Pennsylvania(5/27/2005)
RR
South Carolina(9/18/2015)
RR
Texas(11/8/2006)
IAR
Texas(3/21/2024)
RR
Virginia(6/14/2011)
RR
Washington(2/10/2016)
RR
West Virginia(5/1/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Avon, OH 44011TRUST BUT VERIFY
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