Articles Tagged with Shawn Davis

Shawn DavisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 20, 2017 indicate that California-based Independent Financial Company broker/adviser Shawn Davis has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 2911230).

Shawn Davis has spent eighteen years in the securities industry and has been registered with Independent Financial Company in Auburn, California since 2014. Previous registrations include WFG Investments in Auburn, California; Berthel Fisher & Company in Auburn, California; Royal Alliance Associates in New York, New York; QA3 Financial in Omaha, Nebraska; and NYLife Securities in New York, New York. He has passed five securities industry examinations: Series 24 (General Securities Principal Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); Series 7 (General Securities Representative Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 66 (Uniform Combined State Law Examination). He is a registered broker and investment adviser with twelve US states and territories: Arizona, California, Connecticut, Florida, Idaho, Michigan, Nevada, Ohio, Oregon, Texas, Washington, and Wyoming.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.