Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SHAUN MICHAEL CAVANAGH
SHAWN MICHAEL CAVANAGH
CRD#: 6539476
IA
Investment Adviser
B
Previous Broker
WAMBOLT & ASSOCIATES, LLCCRD#: 153454 13976 W. BOWLES AVENUE
STE. 200
LITTLETON, CO 80127
Registration History
201520162017201820192020202120222023202420252026IAWAMBOLT & ASSOCIATES, LLC (CRD# 153454)2023 - Present (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2015 - 2023 (7 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2015 - 2022 (7 years)
License(s)

State Registrations

IA
Colorado 1/27/2023
Current Registration(s)
IA
WAMBOLT & ASSOCIATES, LLC (CRD#:153454)
13976 W. BOWLES AVENUE STE. 200, LITTLETON, CO 80127
Registered with this firm since 1/27/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/23/2015 - 01/03/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) Chicago, IL
IA
 12/10/2015 - 12/31/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Chicago, IL
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.