AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SM

Shawn G. Mussulman

BARCLAYS CAPITAL
Houston, TX 77002
Some features on this profile are disabled
CRD#: 6686589
SM

Professional summary

Shawn G Mussulman, who also goes by Shawn G Mussulman, Shawn Ghias Mussulman, is a registered financial professional currently at BARCLAYS CAPITAL INC. located in Houston, Texas.

Shawn is registered as a RR (Registered Representative) and started their career in finance in 2016. Shawn has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shawn G Mussulman | Shawn Ghias Mussulman

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shawn G Mussulman'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 11, 2025 - Present

BARCLAYS CAPITAL INC.

Office #1: 609 Main Street Floor 33, Houston, TX 77002
BD
CRD#: 19714
Houston, TX
Past

December 13, 2018 - July 7, 2025

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
HOUSTON, TX
Past

August 12, 2016 - November 15, 2018

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Texas
(7/11/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/14/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/12/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BARCLAYS CAPITAL INC.
BARCLAYS | WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | WEALTH AND INVESTMENT MANAGEMENT A DIVISION OF BARCLAYS | FUNDS AND ADVISORY-AMERICAS | BZW SECURITIES INC. | BCFS - AMERICAS | BARCLAYS WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | BARCLAYS WEALTH AMERICAS | BARCLAYS WEALTH | BARCLAYS SECURITIES INC. | BARCLAYS SECURITIES INC | BARCLAYS DE ZOETE WEDD SECURITIES INC. | BARCLAYS DE ZOETE WEDD GOVERNMENT SECURITIES, INC. | BARCLAYS CAPITAL INC. | BARCLAYS CAPITAL FUND SOLUTIONS - AMERICAS | BARCLAYS CAPITAL

CRD#: 19714 / SEC#: 801-69700, 8-41342

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
745 7th Avenue, New York, NY 10019-6801
Mailing Address
745 7th Avenue, New York, NY 10019
Phone number
(212) 526-7000
Established
Connecticut since 03/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

INVESTMENT PHILOSOPHY PORTFOLIO MULTIPLE ACCOUNTS (IPPMA) PROGRAM (10/29/2015)
PORTFOLIO MANAGEMENT PROGRAM (ETF TACTICAL ALLOCATION STRATEGIES) (8/26/2015)
SELECT ADVISORS PROGRAM (8/26/2015)
PORTFOLIO MANAGEMENT PROGRAM (EQUITY AND FIXED INCOME STRATEGIES) (8/26/2015)
ACCOMMODATION MANAGER PROGRAM (8/26/2015)
INVESTMENT ADVISOR REPRESENTATIVE PROGRAM (8/26/2015)
FIRM BROCHURE (8/26/2015)

Direct owners and executive officers

NamePositionCRD#
BARCLAYS GROUP US INC.OWNS BARCLAYS CAPITAL INC.
ABREU, JULIAN JAVIERROSFP - PRIME SERVICES5160018
JAISING, RAHULROSFP - PRIME SERVICES4754959
MATHIS, CAROL PEDERSENPRINCIPAL FINANCIAL OFFICER4322657
MAYER, ANTHONY EDWARDCHIEF RISK OFFICER8132690
MOGAVERO, ANDREW MICHAELCHIEF EXECUTIVE OFFICER3247485
O'CONNOR, CLAIRE SCHOLZBOARD DIRECTOR1907247
ROGOFF, BRADLEY WAYNEHEAD OF RESEARCH4569545
SMITH, JULIETTE SARACHIEF LEGAL OFFICER5696210
WESTWOOD, JAIPRINCIPAL OPERATIONS OFFICER4611538
ZACHARIA, ZACHARIACHIEF COMPLIANCE OFFICER2440444

Disclosures

Regulatory Event142
Civil Event4

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

BARCLAYS CAPITAL INC.

CRD#: 19714Houston, TX 77002

TRUST BUT VERIFY

Monitor Shawn Mussulman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Darren Dindinger
Darren DindingerAdvisorCheck Check Mark
ALLWORTH FINANCIAL, L.P.
IAR
RR
Orting, WA
LW
Li-e WangAdvisorCheck Check Mark
TRANSAMERICA FINANCIAL ADVISORS, LLC
RR
Houston, TX
JM
James MarshallAdvisorCheck Check Mark
MARSHALL WEALTH MANAGEMENT, LLC
IAR
SUGAR LAND, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.