Individual Firm
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Shawn Paul Hittman
CRD#: 4319601
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 20720 Watertown Road
Suite 140A
Waukesha, WI 53186
Suite 140A
Waukesha, WI 53186
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 20720 Watertown Road
Suite 140
Waukesha, WI 53186
Suite 140
Waukesha, WI 53186
0
Disclosures
23
Years of Experience
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State Registrations
B
Arizona 12/9/2020
B
Michigan 1/15/2021
B
California 5/2/2024
B
Minnesota 2/16/2021
B
Colorado 12/9/2020
B
Montana 5/2/2024
B
District of Columbia 1/5/2023
B
North Carolina 9/23/2021
B
Florida 1/15/2021
B
Pennsylvania 10/18/2021
B
Georgia 5/2/2024
B
South Carolina 5/2/2024
B
Illinois 12/9/2020
B
Texas 12/9/2020
B
Indiana 12/9/2020
IA
Texas 12/9/2020
B
Iowa 5/2/2024
B
Wisconsin 12/9/2020
B
Kentucky 12/9/2020
IA
Wisconsin 12/9/2020
B
Louisiana 1/5/2023
B
Wyoming 5/2/2024
B
Maryland 5/2/2024
SRO Registrations
B
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IA
Registered with this firm since 12/9/2020
B
Registered with this firm since 12/9/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/15/2014 - 02/26/2021 | BROOKFIELD, WI | |
B | 05/14/2014 - 12/18/2020 | BROOKFIELD, WI | |
IA | 06/06/2008 - 05/16/2014 | BROOKFIELD, WI | |
B | 06/06/2008 - 05/16/2014 | BROOKFIELD, WI | |
B | 04/17/2001 - 06/09/2008 | WAUKESHA, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.