Shawn Thomas Waltz

Employer firm

Dunham CRD 13162

$5.63B regulatory AUM 13,200 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2010 → 07/2019
  Lockwood Advisors, Inc
  King Of Prussia, PA
• 07/2019 → Present
  Dunham & Associates Investment Counsel, Inc.
  San Diego, CA
• 09/2011 → 07/2019
  Pershing Llc
  King Of Prussia, PA

Previous Registrations

• 2010-07-13 → 2019-03-01
  Bny Mellon Advisors, Inc.
  New York, NY
• 2009-02-20 → 2010-12-31
  Bny Mellon Managed Investments, Inc.
  King Of Prussia, PA

Exams

• S63 Uniform Securities Agent State Law Examination
  2015-02-19
• S65 Uniform Investment Adviser Law Examination
  2009-02-19

Other Names

• Shawn T Waltz
• Shawn T Waltz
• Shawn Thomas Waltz