Shawn B. Marshall
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 B Marshall, who also goes by Shawn Bernard Marshall, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2003. Shawn had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2015 - April 8, 2016
THE VERTICAL GROUP
January 4, 2013 - April 1, 2015
BGC FINANCIAL, L.P.
April 8, 2010 - December 20, 2012
LOUIS CAPITAL MARKETS, LLC
August 10, 2007 - March 4, 2010
CANACCORD GENUITY SECURITIES LLC
December 6, 2006 - August 10, 2007
COLLINS STEWART INC.
January 10, 2005 - December 6, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
March 1, 2004 - January 21, 2005
BURLINGTON CAPITAL MARKETS INC.
September 26, 2003 - October 14, 2003
AMERIVEST PARTNERS, LLC
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
Series 55
Date: 10/5/2004
Limited Representative-Equity Trader ExamCurrent Firm
THE VERTICAL GROUP
CRD#: 104353 / SEC#: , 8-52814
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
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.
