Shawn F. Blau

ATR ADVISORS

Westport, CT

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CRD#: 5882042

Professional summary

Shawn Frederick Blau is a registered financial advisor currently at ATR ADVISORS, LLC located in Westport, Connecticut.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Shawn has worked at 2 firms and has passed the Series 65 exam.

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.

University of Bridgeport, Bridgeport, CT, Adjunct Professor Sacred Heart University, Fairfield, CT, Adjunct Professor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Frederick Blau's 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

August 29, 2016 - Present

ATR ADVISORS, LLC

RIA

CRD#: 170849

Westport, CT

Past

January 18, 2011 - October 24, 2016

WESTPORT RESOURCES MANAGEMENT INC

RIA

CRD#: 105306

WESTPORT, CT

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

Connecticut
(8/29/2016)

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 65

Date: 12/21/2010

Uniform Investment Adviser Law Examination

Current Firm

ATR ADVISORS, LLC

ATR ADVISORS, LLC | BLAU, SHAWN F

CRD#: 170849 / SEC#: 801-79689

RIA

Registered Investment Advisory firm - (11/28/2016 Terminated)

Connecticut

Registered Investment Advisory firm - (11/16/2016 Approved)

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).

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Contact information

Main Address

Fairfield, CT

Mailing Address

Po Box 1355, Fairfield, CT 06825-6355

Phone number

(203) 858-8059

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 1,508,177

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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Shawn F. Blau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Frederick Blau's CRS (Customer Relationship Summary).

Certified licenses

Experience

ATR ADVISORS, LLC

WESTPORT RESOURCES MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/2010

Current Firm

ATR ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ATR ADVISORS, LLC

TRUST BUT VERIFY

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