Shawn A. Watts

ZIA CAPITAL INVESTMENTS LLC

ALBUQUERQUE, NM 87123

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CRD#: 7482630

Professional summary

Shawn Allan Watts is a registered financial advisor currently at ZIA CAPITAL INVESTMENTS LLC located in Albuquerque, New Mexico.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Shawn has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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.

Independent Insurance Agent- Investment related- insurance agent- 25% of Mr. Watts time is spent on this outside business activity Real Estate broker - State Date: 07/2023 - investment related - Associate Broker - 15% of Mr. Watts time is spent on this outside business activity - Assists with the sale and purchase of properties. Mortgage Officer - Start Date: 08/2023 - investment related - Mortgage Loan Officer/Loan Officer - 10% of Mr. Watts time is spent on this outside business activity. - Researches loans and navigates the application, approval and closing process.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Allan Watts'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

December 2, 2024 - Present

ZIA CAPITAL INVESTMENTS LLC

Office #1: 13600 Copper Ave Ste B, Albuquerque, NM 87123

RIA

CRD#: 332414

ALBUQUERQUE, NM

Past

January 31, 2023 - December 4, 2024

MODERN FINANCIAL

RIA

CRD#: 317409

COLORADO SPRINGS, CO

Past

September 9, 2022 - February 2, 2023

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

COLORADO SPRINGS, CO

Past

July 27, 2022 - February 2, 2023

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

COLORADO SPRINGS, CO

Past

April 8, 2022 - June 27, 2022

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

NEWPORT NEWS, VA

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

Colorado
(1/28/2025)

IAR

New Mexico
(12/3/2024)

IAR

Texas
(12/2/2024)

IAR

Virginia
(12/11/2024)

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 66

Date: 9/8/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/8/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/18/2022

Securities Industry Essentials Examination

Current Firm

ZIA CAPITAL INVESTMENTS LLC

ZIA CAPITAL INVESTMENTS LLC | ZIA CAPITAL INVESTMENTS, LLC

CRD#: 332414 / SEC#:

Colorado

Registered Investment Advisory firm - (1/28/2025 Approved)

New Mexico

Registered Investment Advisory firm - (10/2/2024 Approved)

Texas

Registered Investment Advisory firm - (8/22/2024 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (12/11/2024 Approved)

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Contact information

Main Address

13600 Copper Ave Ste B, Albuquerque, NM 87123

Mailing Address

Phone number

(505) 934-0637

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	183
AUM (Assets Under Management)	$ 6,020,237

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 A. Watts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Allan Watts's CRS (Customer Relationship Summary).

Certified licenses

Experience

ZIA CAPITAL INVESTMENTS LLC

MODERN FINANCIAL

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2022

Series 7TO

Date: 4/8/2022

SIE

Date: 2/18/2022

Current Firm

ZIA CAPITAL INVESTMENTS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ZIA CAPITAL INVESTMENTS LLC

TRUST BUT VERIFY

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