Shawn D. Gage
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 David Gage was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2014. Shawn had worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2022 - August 3, 2022
PFM FUND DISTRIBUTORS, INC.
April 15, 2014 - July 12, 2022
U.S. BANCORP INVESTMENTS, INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PFM FUND DISTRIBUTORS, INC.
CRD#: 114474 / SEC#: , 8-53496
Contact information
Documents
Red Flags
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