Shawn Michael Loddy

Current Employers

Sml Advisory

Rio Rancho, NM • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-11-13
NM	RA	APPROVED	2023-03-27

CA RA
APPROVED

Since 2025-11-13
NM RA
APPROVED

Since 2023-03-27

Branch Locations

Rio Rancho, NM • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Sml Advisory	San Diego	CA	07/2015	Present
Breakout Av	San Diego	CA	01/2000	Present
Sole Propietor - Insurance	San Diego	CA	06/2002	Present

07/2015 → Present

Sml Advisory

San Diego, CA
01/2000 → Present

Breakout Av

San Diego, CA
06/2002 → Present

Sole Propietor - Insurance

San Diego, CA

Previous Registrations

2007-11-21 → 2015-07-31

Regal Advisory Services, Inc.

Glenview, IL

San Diego, CA
2005-12-21 → 2007-11-30

Scf Investment Advisors, Inc.

San Diego, CA
2004-06-17 → 2005-12-06

Asset Management Strategies, L.L.C.

San Diego, CA

Other Businesses

1)BREAKOUT AV. DEL MAR, CA TITLE: TECHNICIAN. START DATE: 1/2000. NOT INVESTMENT RELATED. 2-4 WEEKS/YEAR, 0 DURING TRADING. 2) SOLE PROPRIETOR/INSURANCE AGENT; START DATE 06/2002; INVESTMENT RELATED; 2 HOURS/MONHT, 0 DURING TRADING. SELLING INSURANCE PRODUCTS. --

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-02-11
S63	Uniform Securities Agent State Law Examination	2000-05-22

S65 Uniform Investment Adviser Law Examination

2004-02-11
S63 Uniform Securities Agent State Law Examination

2000-05-22

View on SEC IAPD