Shawn J. Mccabe

GUNN & COMPANY INVESTMENT MANAGEMENT

Jacksonville, FL 32224

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CRD#: 5440059

Professional summary

Shawn Joseph Mccabe, CFP® is a registered financial advisor currently at GUNN & COMPANY INVESTMENT MANAGEMENT, INC. located in Jacksonville, Florida.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Shawn has worked at 7 firms and has passed the Series 66 and Series 7 exams.

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.

McCabe Gunn, CPA, PA, 13901 Sutton Park Drive South, S # 130, Jacksonville, FL 32224, non investment related CPA firm, Owner/President, 75 hours devoted to this business per month, all during business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Joseph Mccabe'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: 2011

Experience

Current

July 10, 2024 - Present

GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

Office #1: 13901 Sutton Park Drive South Suite 130, Jacksonville, FL 32224

RIA

CRD#: 120084

Jacksonville, FL

Past

January 2, 2020 - July 3, 2024

CPS INVESTMENT ADVISORS

RIA

CRD#: 104914

LAKELAND, FL

Past

December 6, 2018 - December 31, 2019

RSE CONSULTING, LLC

RIA

CRD#: 298936

BRANDON, FL

Past

January 7, 2013 - December 31, 2015

N/A

RIA

CRD#: 166402

BARTOW, FL

Past

May 27, 2009 - April 26, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

LAKELAND, FL

Past

February 19, 2008 - June 1, 2012

JOHNSON STIVENDER WEALTH ADVISORS, INC.

RIA

CRD#: 137032

LAKELAND, FL

Past

January 17, 2008 - October 10, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

LAKELAND, FL

Past

November 19, 2007 - April 26, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LAKELAND, FL

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".

GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

CRD#: 120084 / SEC#: 801-112077

RIA

Registered Investment Advisory firm - (11/27/2017 Approved)

Florida

Registered Investment Advisory firm - (1/8/2018 Terminated)

Georgia

Registered Investment Advisory firm - (1/11/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2001 Failure to Renew)

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

Florida
(7/10/2024)

IAR

Georgia
(7/10/2024)

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 66

Date: 1/9/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/16/2007

General Securities Representative Examination

Current Firm

GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

CRD#: 120084 / SEC#: 801-112077

RIA

Registered Investment Advisory firm - (11/27/2017 Approved)

Florida

Registered Investment Advisory firm - (1/8/2018 Terminated)

Georgia

Registered Investment Advisory firm - (1/11/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2001 Failure to Renew)

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Contact information

Main Address

13901 Sutton Park Drive South Suite 130, Jacksonville, FL 32224

Mailing Address

Phone number

(904) 296-2025

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/8/2025)

Regulatory assets under management

Total Number of Accounts	412
AUM (Assets Under Management)	$ 194,512,152

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/07/2024	Cover Page	Report
09/06/2023	Cover Page	Report
12/09/2022	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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Advisor Monitoring

Firm Stability Insights

Shawn J. Mccabe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Joseph Mccabe's CRS (Customer Relationship Summary).

Certified licenses

Experience

CPS INVESTMENT ADVISORS

RSE CONSULTING, LLC

N/A

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

JOHNSON STIVENDER WEALTH ADVISORS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/9/2008

Series 7

Date: 11/16/2007

Current Firm

GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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