Shawn L Bernhard

Raymond James & Associates, Inc.

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Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-09-22
AZ	RA	APPROVED	2025-06-04

TX RA
APPROVED

Since 2025-09-22
AZ RA
APPROVED

Since 2025-06-04

Branch Locations

5285 East Williams Circle Suite 5500, Tucson, AZ 85711 • United States

8501 N. Scottsdale Road Suite 250, Scottsdale, AZ 85253 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	New York	NY	06/2015	02/2018
Ubs Financial Services Inc.	Phoenix	AZ	02/2018	05/2025
Raymond James & Associates Inc.	Scottsdale	AZ	05/2025	Present

06/2015 → 02/2018

Ubs Financial Services Inc.

New York, NY
02/2018 → 05/2025

Ubs Financial Services Inc.

Phoenix, AZ
05/2025 → Present

Raymond James & Associates Inc.

Scottsdale, AZ

Previous Registrations

2008-12-02 → 2025-06-03

Ubs Financial Services Inc.

Greenville, DE

Conshohocken, PA

Weehawken, NJ

Chicago, IL

New York, NY

New York, NY

Phoenix, AZ

Scottsdale, AZ

Tucson, AZ

Phoenix, AZ

Scottsdale, AZ

Scottsdale, AZ

Scottsdale, AZ
2005-06-08 → 2008-12-03

Wells Fargo Clearing Services, Llc

Dover, DE

West Chester, PA

Middletown, DE

Philadelphia, PA

Middletown, DE

Wilmington, DE

Middletown, DE
2005-01-06 → 2005-06-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wilmington, DE

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-01-05

S66 Uniform Combined State Law Examination

2005-01-05

Designations

View on SEC IAPD

Other Firms

IRONWOOD FINANCIAL, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

AIO FINANCIAL, LLC

FINANCIAL DIRECTIONS LLC

COMMONWEALTH FINANCIAL NETWORK

Other Investors

MARTIN ANTHONY SMITH

ALEXANDER DEVEREAUX PARRS

ROBIN RODGERS DOLEZAL

DARREN GRANT HESSELINK

DANIEL SHAY NENTL

DAVID A. NIICHEL

EMILY MARIE Delgado

DAVID CUNNINGHAM RENZI

Other Offices

IRONWOOD FINANCIAL, LLC · TUCSON, AZ

IRONWOOD FINANCIAL, LLC · TUCSON, AZ

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TUCSON, AZ

WELLS FARGO CLEARING SERVICES, LLC · TUCSON, AZ

ALLSTATE FINANCIAL ADVISORS, LLC · Tucson, AZ

AIO FINANCIAL, LLC · TUCSON, AZ

EDWARD JONES · TUCSON, AZ

FINANCIAL DIRECTIONS LLC · TUCSON, AZ

More in Tucson, AZ

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