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Shawn Thomas Waltz

Dunham

San Diego, CA

Woodlyn, PA

San Diego, CA

San Diego, CA

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Current Employers
Dunham

6256 Greenwich Drive Suite 550, San Diego, CA 92122 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-07-23
  • CA RA
    APPROVED
    Since 2019-07-23

Branch Locations

6256 Greenwich Drive Suite 550, San Diego, CA 92122 • UNITED STATES

Woodlyn, PA • United States

6256 Greenwich Drive Suite 550, San Diego, CA 92122 • United States

6256 Greenwich Drive Suite 550, San Diego, CA 92122 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lockwood Advisors, Inc King Of Prussia PA 07/2010 07/2019
Dunham & Associates Investment Counsel, Inc. San Diego CA 07/2019 Present
Pershing Llc King Of Prussia PA 09/2011 07/2019
  • 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
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-02-19
S65 Uniform Investment Adviser Law Examination 2009-02-19
  • 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

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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