SW
Shawn P. Walsh
CETERA INVESTMENT ADVISERS LLC
MAPLE GROVE, MN
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CRD#: 4787060
SW
Professional summary
Shawn Phillip Walsh, AIF®, who also goes by Shawn P Walsh Mr., Shawn P Walsh, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Maple Grove, Minnesota and CETERA WEALTH SERVICES, LLC located in Maple Grove, Minnesota.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Shawn has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn P Walsh Mr. | Shawn P Walsh
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.
1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE 2.NAME OF OTHER BUSINESS: VESTCORE FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2018 POSITION/TITLE/RELATIONSHIP: PART OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: MAINTAIN DAY TO DAY OPERATIONS OF THE FIRM AND SUPPORT CLIENTS WITH BROKERAGE AND ADVISORY SERVICES 3. NAME OF OTHER BUSINESS: GREENHAVEN MEN'S CLUB BOARD ; INVESTMENT RELATED: NO; ADDRESS: 2800 GREENHAVEN ROAD ANOKA, MN 55303; NATURE OF BUSINESS: MENS CLUB; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROVIDE DIRECTION TO CLUB AT PUBLIC GOLF COURSE, HELP RUN EFFICIENT TOURNAMENTS AND LEAGUES, PROMOTE MEMBERSHIP;
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Phillip Walsh'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 342 5th Ave N, Ste 100, Bayport, MN 55003RIA
CRD#: 105644
MAPLE GROVE, MN
Current
August 16, 2018 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 342 5th Ave N Ste 100, Bayport, MN 55003BD
CRD#: 13572
MAPLE GROVE, MN
Past
August 16, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Maple Grove, MN
Past
March 25, 2017 - August 22, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
MINNETONKA, MN
Past
March 25, 2017 - August 22, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MINNETONKA, MN
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
MINNETONKA, MN
Past
January 30, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
MINNEAPOLIS, MN
Past
August 9, 2013 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MINNETONKA, MN
Past
May 24, 2010 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
MINNEAPOLIS, MN
Past
January 2, 2009 - May 20, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
MINNEAPOLIS, MN
Past
November 26, 2008 - May 20, 2010
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
MINNEAPOLIS, MN
Past
March 23, 2007 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
BD
CRD#: 139135
MINNEAPOLIS, MN
Past
July 26, 2004 - March 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MINNEAPOLIS, MN
Past
June 10, 2004 - March 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
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
Alaska(9/16/2024)
RR
Arizona(10/18/2018)
RR
California(6/1/2020)
RR
Florida(8/16/2018)
RR
Hawaii(7/16/2019)
RR
Illinois(9/20/2019)
RR
Iowa(3/24/2022)
RR
Massachusetts(3/14/2019)
RR
Michigan(9/20/2019)
RR
Minnesota(8/16/2018)
IAR
Minnesota(6/29/2023)
RR
Montana(5/11/2020)
RR
Nevada(4/15/2020)
RR
North Dakota(8/16/2018)
RR
Ohio(10/28/2025)
RR
South Dakota(8/29/2024)
RR
Texas(3/23/2022)
IAR
Texas(6/29/2023)
RR
Wisconsin(8/16/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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 | ||
| 11/18/2022 |
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.
