Shawn Tabrizi
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 Tabrizi was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2011. Shawn had worked at 6 firms and has passed the Series 66, Series 7TO, SIE 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
November 12, 2020 - July 22, 2021
CETERA INVESTMENT ADVISERS LLC
January 30, 2020 - December 7, 2021
PRESIDIO CAPITAL MANAGEMENT, LLC
April 1, 2019 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
February 7, 2019 - July 22, 2021
FIRST ALLIED SECURITIES, INC.
February 12, 2013 - July 1, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
June 14, 2012 - July 1, 2014
FIRST ALLIED SECURITIES, INC.
March 27, 2012 - June 19, 2012
CENTARA CAPITAL MANAGEMENT GROUP, INC.
November 17, 2011 - June 19, 2012
CAPLINK SECURITIES, INC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Series 7TO
Date: 2/7/2019
General Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
