Thomas Michael Shockman

Current Employers

Employment History

• 09/2015 → 08/2019
  International Assets Advisory, Llc
  Fargo, ND
• 08/2019 → 12/2021
  Advisornet Wealth Managment
  Minneapolis, MN
• 08/2019 → 10/2021
  Cetera Advisor Networks
  El Segundo, CA
• 08/2019 → Present
  Shockman Financial, Llc
  Fargo, ND
• 11/2021 → Present
  Shockman Financial
  Fargo, ND

Previous Registrations

• 2019-09-09 → 2021-12-31
  Advisornet Wealth Partners
  Minnetonka, MN
  Fargo, ND
  Fargo, ND
• 2016-01-19 → 2019-08-19
  International Assets Investment Management, Llc
  Fargo, ND

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 08/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE AND OTHER PRODUCTS 2. NAME OF OTHER BUSINESS: SHOCKMAN FINANCIAL COMPANIES, LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 08/2019 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: OWNER - PROVIDE FINANCIAL SERVICES TO CLIENTS ; 3. NAME OF OTHER BUSINESS: THOMAS SHOCKMAN INVESTMENT RELATED: NO ADDRESS: FARGO, ND NATURE OF BUSINESS: HIGH SCHOOL SPORTS START DATE: 1984 POSITION/TITLE/RELATIONSHIP: OFFICIAL APX NUMBER OF HOURS PER WEEK: 5 HOURS BETWEEN SEPT - NOV APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: OFFICIATE HIGH SCHOOL FOOTBALL

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-08-08
• S63 Uniform Securities Agent State Law Examination
  1988-04-07