SS
Shawn Shaughnessy
CETERA INVESTMENT ADVISERS LLC
NEW PALTZ, NY 12561
Some features on this profile are disabled
CRD#: 6202830
SS
Professional summary
Shawn Shaughnessy is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Paltz, New York and CETERA FINANCIAL SPECIALISTS LLC located in New Paltz, New York.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Shawn has worked at 2 firms and has passed the Series 63, SIE and Series 6 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.
1) NAME OF OTHER BUSINESS: SHAWN & BETH ENTERPRISES INC DBA PADGETT BUSINESS SERVICES ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TAX, ACCOUNTING AND PAYROLL SERVICES ; START DATE:8/2009 ; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT/CEO ; APX NUMBER OF HOURS PER WEEK: LESS THAN 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 32.5 ; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING PRACTICE ; 2) NAME OF OTHER BUSINESS: NOTARY PUBLIC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE:8/1998 ; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 3) NAME OF OTHER BUSINESS: FIXED INSURANCE, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 11/2022, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS GROUP LIFE, HEALTH, LTD, VISION AND DENTAL THROUGH BENEFITMALL GENERAL AGENCY; 4) NAME OF OTHER BUSINESS: ACME ACCOUNTANTS AND ADVISORS INC DBA SCHAIN AND COMPANY; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TAX, ACCOUNTING AND PAYROLL SERVICES ; START DATE: 01/2021; POSITION/TITLE/RELATIONSH: PART OWNER ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING, BOOKKEEPING, AND TAX PREPARATION; 5) WEALTH PLANNING SERVICES INC - NOT INV RELATED; HIGHLAND, NY; TAX PREPARATION AND ACCOUNTING SERVICES; COLLECT AND REPORT INCOME FROM TAX AND ACCOUNTING SERVICES PROVIDED THAT ARE NOT SUPPORTED BY ACME ACCOUNTANTS AND ADVISORS; SINCE 01/2021; 16 HRS/MONTH, 16 HRS/MONTH DURING SECURITIES TRADING HOURS: 6) NAME OF OTHER BUSINESS: HIGHLAND ROTARY CLUB INC. INVESTMENT RELATED: NO; ADDRESS: P.O. BOX 723, , HIGHLAND, NY 12528; NATURE OF BUSINESS: SERVICE CLUB; START DATE: 07/2023, POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: KEEP BOOKS, , MAKE DEPOSITS, AND PAY BILLS FOR CLUB ACTIVITIES, NO CHECK WRITING;
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Shaughnessy'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®
NoneExperience
Current
September 22, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 70 North Putt Corners Rd, New Paltz, NY 12561RIA
CRD#: 105644
NEW PALTZ, NY
Current
July 16, 2013 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 70 North Putt Corners Rd, New Paltz, NY 12561BD
CRD#: 10358
New Paltz, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(8/9/2013)
IAR
New York(9/22/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644New Paltz, NY 12561TRUST BUT VERIFY
Monitor Shawn Shaughnessy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
