Shawn B. Whitt
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 Boyd Whitt was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2009. Shawn had worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2011 - May 15, 2012
DBA FAMILY WEALTH LEADERSHIP
April 15, 2011 - May 15, 2012
NEXT FINANCIAL GROUP, INC.
October 20, 2010 - May 15, 2012
NEXT FINANCIAL GROUP, INC.
October 15, 2009 - October 26, 2010
STIRA CAPITAL MARKETS GROUP, LLC
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
DBA FAMILY WEALTH LEADERSHIP
CRD#: 111203 / SEC#: 801-60216
Contact information
Regulatory assets under management
| Total Number of Accounts | 63 |
| AUM (Assets Under Management) | $ 55,682,000 |
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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