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Detailed Report
SHAWN CHARLES HEFFERON
Shawn Hefferon
CRD#: 6816267
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 350 W COLORADO BLVD STE 390
[LC-RBO]
PASADENA, CA 91105
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2017 (<1 year)2 FIRMS2018 - Present (7 years)
License(s)

State Registrations

B
Arizona 12/3/2020
B
Nebraska 3/19/2024
B
California 2/23/2018
B
Nevada 3/12/2018
IA
California 2/23/2018
B
New Jersey 12/3/2020
B
Colorado 12/3/2020
B
New Mexico 12/3/2020
B
Connecticut 8/24/2021
B
New York 3/29/2018
B
District of Columbia 6/10/2021
B
Ohio 1/28/2019
B
Florida 12/3/2020
B
Oklahoma 2/21/2023
B
Georgia 3/28/2025
B
Oregon 3/12/2018
B
Idaho 12/3/2020
B
South Carolina 12/3/2020
B
Kansas 2/26/2025
B
Tennessee 1/23/2020
B
Maine 8/24/2021
B
Texas 12/3/2020
B
Maryland 8/24/2021
IA
Texas 12/3/2020
B
Massachusetts 1/4/2022
B
Utah 12/3/2020
B
Michigan 2/26/2025
B
Washington 1/7/2020
B
Missouri 7/30/2024
B
West Virginia 10/25/2023
B
Montana 2/26/2021

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
350 W COLORADO BLVD STE 390 [LC-RBO], PASADENA, CA 91105
Registered with this firm since 2/23/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
350 W COLORADO BLVD STE 390 [LC-RBO], PASADENA, CA 91105
Registered with this firm since 2/23/2018
Previous Registration(s)
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IA
 11/15/2017 - 12/04/2017 AXA ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
B
 09/12/2017 - 12/04/2017 AXA ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
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.