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SD

Shawn M. Doty

DIMENSIONAL FUND ADVISORS LP
Austin, TX 78746
Some features on this profile are disabled
CRD#: 5171075
SD

Professional summary

Shawn M Doty is a registered financial advisor currently at DIMENSIONAL FUND ADVISORS LP located in Austin, Texas and DFA SECURITIES LLC located in Austin, Texas.

Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Shawn has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 86, Series 87, Series 7, Series 53, Series 4 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn M Doty'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®
None

Experience

Current

July 18, 2018 - Present

DIMENSIONAL FUND ADVISORS LP

Office #1: 6300 Bee Cave Road Building One, Austin, TX 78746
RIA
CRD#: 106482
Austin, TX
Current

July 18, 2018 - Present

DFA SECURITIES LLC

Office #1: Palisades West, Building One 6300 Bee Cave Road, Austin, TX 78746
BD
CRD#: 10292
Austin, TX
Past

September 19, 2011 - June 25, 2018

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

September 16, 2011 - June 25, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

December 16, 2008 - September 2, 2011

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
LA VISTA, NE
Past

December 10, 2008 - September 2, 2011

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

April 17, 2008 - October 15, 2008

EDWARD JONES

RIA
CRD#: 250
PAPILLION, NE
Past

March 31, 2008 - October 15, 2008

EDWARD JONES

BD
CRD#: 250
PAPILLION, NE
Past

October 26, 2006 - April 8, 2008

TD AMERITRADE, INC.

BD
CRD#: 7870
BELLEVUE, NE

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".
DF
DIMENSIONAL FUND ADVISORS LP
DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.

CRD#: 106482 / SEC#: 801-16283

RIA
Registered Investment Advisory firm - (8/26/1981 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
Texas
(7/18/2018)
IAR
Texas
(7/18/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/8/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/2/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 11/2/2010
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/11/2010
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/25/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/5/2009
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/7/2009
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/25/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DF
DIMENSIONAL FUND ADVISORS LP
DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.

CRD#: 106482 / SEC#: 801-16283

RIA
Registered Investment Advisory firm - (8/26/1981 Approved)
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Contact information

Main Address
6300 Bee Cave Road Building One, Austin, TX 78746
Mailing Address
Phone number
(512) 306-7400
Established
Firm type
Fiscal year end
# of Employees
1,135

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DIMENSIONAL FUND ADVISORS LP FORM ADV PART 2A - ANNUAL AMENDMENT DATED MARCH 31, 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,611
AUM (Assets Under Management)$ 835,713,261,770

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.

Company Information

DIMENSIONAL FUND ADVISORS LP

CRD#: 106482Austin, TX 78746

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