Delynn M. Shogren
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.
Delynn Michelle Shogren, who also goes by Delynn M Otis, Delynn Otis, Delynn M Shogren, Delynn Shogren, Delynn Michelle Shogren Blackmon, was a registered financial professional .
Delynn is a previously registered financial professional and started their career in finance in 2008. Delynn had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2023 - March 4, 2026
TRADEWINDS WEALTH MANAGEMENT
December 21, 2022 - March 9, 2023
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
November 29, 2022 - March 14, 2023
LPL FINANCIAL LLC
February 2, 2018 - September 23, 2022
U.S. BANCORP INVESTMENTS, INC.
February 2, 2018 - September 23, 2022
U.S. BANCORP INVESTMENTS, INC.
October 7, 2014 - November 6, 2017
CETERA INVESTMENT ADVISERS LLC
September 18, 2014 - November 6, 2017
CETERA INVESTMENT SERVICES LLC
October 27, 2011 - September 9, 2014
CUNA BROKERAGE SERVICES, INC.
May 9, 2011 - September 9, 2014
CUNA BROKERAGE SERVICES, INC.
January 18, 2008 - November 18, 2009
CUNA BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
TRADEWINDS WEALTH MANAGEMENT
CRD#: 323879 / SEC#: 801-127142
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
Current Firm
TRADEWINDS WEALTH MANAGEMENT
CRD#: 323879 / SEC#: 801-127142
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 265 |
| AUM (Assets Under Management) | $ 137,267,206 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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