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Detailed Report
SHAWN MICHAEL LAYTON
SHAWN MICHAEL BROWN
CRD#: 5893472
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 330 112TH AVE NE #301
BELLEVUE, WA 98004
Registration History
19952000200520102015202020252 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - 2015 (4 years)2 FIRMS2015 - 2020 (4 years)2 FIRMS2020 - Present (5 years)
Disclosure(s)
View By:
9/12/2019
Customer Dispute
Denied
10/28/1994
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 2/7/2025
B
Oregon 1/22/2020
IA
Alabama 2/10/2025
B
Texas 1/15/2020
B
California 1/13/2021
IA
Texas 1/15/2020
B
Georgia 1/15/2020
B
Washington 1/15/2020
B
Ohio 1/15/2020
IA
Washington 1/15/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
330 112TH AVE NE #301, BELLEVUE, WA 98004
FAIRHOPE, AL
Registered with this firm since 1/15/2020
B
LPL FINANCIAL LLC (CRD#:6413)
330 112TH AVE NE #301, BELLEVUE, WA 98004
FAIRHOPE, AL
Registered with this firm since 1/15/2020
Previous Registration(s)
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IA
 12/14/2015 - 01/16/2020 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) BELLEVUE, WA
B
 12/14/2015 - 01/16/2020 SECURITIES AMERICA, INC. (CRD#:10205) BELLEVUE, WA
IA
 11/15/2011 - 12/17/2015 INVESTMENT ADVISORS (CRD#:15708) KIRKLAND, WA
B
 11/10/2011 - 12/17/2015 PROEQUITIES, INC. (CRD#:15708) KIRKLAND, WA
IA
 10/28/2011 - 11/11/2011 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BELLEVUE, WA
B
 08/17/2011 - 11/11/2011 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BELLEVUE, WA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.