Shawn P. Wallace

ROBERTSON STEPHENS

DENVER, CO 80218

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CRD#: 5633966

Professional summary

Shawn Patrick Wallace is a registered financial advisor currently at ROBERTSON STEPHENS located in Denver, Colorado.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Shawn has worked at 4 firms and has passed the Series 66, Series 63, SIE 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.

NAME: GWSA INV REL: Y ADD: 55 MADISON ST STE 790 DENVER CO 80206 NATURE: INSURANCE POSITION: SALES AGENT START DATE: 1/1/15 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 0 (2) NAME: UNITED AIRLINES INV REL: N ADD: 7401 MLK BLVD DENVER CO 80207 NATURE: PILOT POSITION: 767 INSTRUCTOR START DATE: 5/26/97 NO. HR/MO: 30 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: UNITED AIRLINES INSTRUCTOR PILOT: EXECUTIVE BOARD MEMBER FOR WINGS OVER THE ROCKIES. NOT INVESTMENT RELATED. LESS THAN 1% OF TIME PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Patrick Wallace'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 31, 2024 - Present

ROBERTSON STEPHENS

Office #1: 1741 N High St, Denver, CO 80218

RIA

CRD#: 289977

DENVER, CO

Past

December 4, 2019 - August 28, 2024

RATIO WEALTH GROUP LLC

RIA

CRD#: 306278

DENVER, CO

Past

January 27, 2015 - December 6, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Denver, CO

Past

January 12, 2015 - December 6, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

Denver, CO

Past

September 9, 2010 - January 14, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

DENVER, CO

Past

February 19, 2009 - January 14, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

DENVER, CO

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".

ROBERTSON STEPHENS

ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA

Registered Investment Advisory firm - (10/11/2017 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(7/31/2024)

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: 9/8/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/31/2009

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: 2/18/2009

General Securities Representative Examination

Current Firm

ROBERTSON STEPHENS

ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA

Registered Investment Advisory firm - (10/11/2017 Approved)

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Contact information

Main Address

455 Market Street Ste. 1450, San Francisco, CA 94105-2442

Mailing Address

Phone number

(415) 500-6810

Established

Firm type

Fiscal year end

# of Employees

113

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROBERTSON STEPHENS ADV PART 2A BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	7,419
AUM (Assets Under Management)	$ 7,139,384,497

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 P. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Patrick Wallace's CRS (Customer Relationship Summary).

Certified licenses

Experience

RATIO WEALTH GROUP LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ROBERTSON STEPHENS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2010

Series 63

Date: 1/31/2009

SIE

Date: 10/1/2018

Series 7

Date: 2/18/2009

Current Firm

ROBERTSON STEPHENS

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROBERTSON STEPHENS

TRUST BUT VERIFY

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