Shawn M. Fodge

HBKS WEALTH ADVISORS

Warrendale, PA 15086

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CRD#: 5101092

Professional summary

Shawn Michael Fodge, CFP®, who also goes by Shawn Michael Fodge, Shawn Fodge, is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Warrendale, Pennsylvania.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Shawn has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shawn Michael Fodge | Shawn Fodge

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Michael Fodge's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2020

Experience

Current

July 14, 2022 - Present

HBKS WEALTH ADVISORS

Office #1: 200 Pinewood Lane Suite 204, Warrendale, PA 15086

RIA

CRD#: 112139

Warrendale, PA

Past

November 3, 2021 - May 24, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

CRANBERRY TOWNSHIP, PA

Past

October 22, 2021 - May 24, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

CRANBERRY TOWNSHIP, PA

Past

February 17, 2020 - September 21, 2021

SCHNEIDER DOWNS WEALTH MANAGEMENT ADVISORS, LP

RIA

CRD#: 128591

PITTSBURGH, PA

Past

August 9, 2018 - January 14, 2020

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

PITTSBURGH, PA

Past

November 11, 2015 - November 6, 2017

LPL FINANCIAL LLC

CRD#: 6413

PITTSBURGH, PA

Past

September 1, 2011 - October 26, 2015

LPL FINANCIAL LLC

CRD#: 6413

WEXFORD, PA

Past

November 13, 2009 - August 23, 2011

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

December 8, 2008 - November 13, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

PITTSBURGH, PA

Past

March 1, 2006 - February 8, 2007

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

STATE COLLEGE, PA

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".

HBKS WEALTH ADVISORS

CRD#: 112139 / SEC#: 801-60424

RIA

Registered Investment Advisory firm - (7/19/2001 Approved)

Ohio

Registered Investment Advisory firm - (11/28/2000 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/29/2001 Terminated)

Wyoming

Registered Investment Advisory firm - (11/9/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(7/14/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/17/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/21/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/28/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HBKS WEALTH ADVISORS

CRD#: 112139 / SEC#: 801-60424

RIA

Registered Investment Advisory firm - (7/19/2001 Approved)

Ohio

Registered Investment Advisory firm - (11/28/2000 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/29/2001 Terminated)

Wyoming

Registered Investment Advisory firm - (11/9/2017 Terminated)

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Contact information

Main Address

2725 Colonial Ave, Erie, PA 16506

Mailing Address

Phone number

(814) 836-5776

Established

Firm type

Fiscal year end

# of Employees

109

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HBKS WEALTH ADVISORS ADV 2A 11-12-25 (11/12/2025)

Regulatory assets under management

Total Number of Accounts	21,190
AUM (Assets Under Management)	$ 7,661,939,874

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/25/2024	Cover Page	Report
07/28/2023	Cover Page	Report

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.

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Firm Stability Insights

Shawn M. Fodge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Michael Fodge's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

SCHNEIDER DOWNS WEALTH MANAGEMENT ADVISORS, LP

THE HUNTINGTON INVESTMENT COMPANY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PNC WEALTH MANAGEMENT LLC

NATCITY INVESTMENTS, INC.

PNC WEALTH MANAGEMENT LLC

Primary Firm SEC Registration

HBKS WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/17/2020

Series 63

Date: 3/21/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/16/2012

Series 6

Date: 2/28/2006

Current Firm

HBKS WEALTH ADVISORS

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HBKS WEALTH ADVISORS

TRUST BUT VERIFY

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