Shawn A Wooden

Current Employers

Employment History

• 12/2012 → 01/2020
  Principal Life Ins Co
  Miramar, FL
• 03/2016 → 01/2020
  Principal Securities Inc
  Miramar, FL
• 01/2020 → 07/2020
  Investacorp, Inc
  Miami, FL
• 01/2020 → 07/2020
  Investacorp Advisory Services
  Miami, FL
• 01/2013 → 11/2018
  Wooden Wealth Strategies
  Miramar, FL
• 07/2020 → 06/2024
  Securities America, Inc.
  Ft. Lauderdale, FL
• 07/2020 → 06/2024
  Securities America Advisors, Inc.
  Fort Lauderdale, FL
• 06/2024 → Present
  Osaic Wealth, Inc.
  Ft. Lauderdale, FL
• 01/2020 → Present
  Associated Financial Consultants, Inc.
  Ft Lauderdale, FL

Previous Registrations

• 2020-07-17 → 2024-06-14
  Securities America Advisors, Inc.
  Fort Lauderdale, FL
• 2020-01-10 → 2020-07-17
  Investacorp Advisory Services Inc
  Fort Lauderdale, FL
• 2012-12-12 → 2020-01-14
  Principal Securities, Inc.
  Miramar, FL
  Davie, FL
  Sunrise, FL
• 2009-01-27 → 2012-12-06
  Msi Financial Services, Inc.
  Fort Lauderdale, FL
• 2008-06-02 → 2009-01-20
  Equitable Advisors, Llc
  Ft. Lauderdale, FL
  Boca Raton, FL
  Fort Lauderdale, FL
• 2006-11-20 → 2008-06-03
  Msi Financial Services, Inc.
  Fort Lauderdale, FL
  Plantation, FL
  Fort Lauderdale, FL

Other Businesses

1. SELF POSITION: Self NATURE: Autograph signings & appearances INVESTMENT RELATED: No #HRS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/21/1996 ADDRESS: 17741 SW 12th St, Pembroke Pines FL 33029 DESCRIPTION: Will do paid appearances to do autograph signings and/or chalk talks about football. 2. MAXWELL FOOTBALL CLUB POSITION: Board Member NATURE: Activity INVESTMENT RELATED: No #HRS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2016 ADDRESS: 1600 Senca Run, Ambler PA 19002 DESCRIPTION: Board member with no check writing, no financial duties, voting on award winners 3. MIAMI DOLPHINS ALUMNI ADVISORY BOARD POSITION: Board Member NATURE: Activity INVESTMENT RELATED: No #HRS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2016 ADDRESS: 347 Don Shula Dr, Miami Gardens FL 33056, DESCRIPTION: Advise on retired player involvement with the Miami Dolphins Organization 4. HOLTZ'S HEROES FOUNDATION INC. POSITION: Board Member NATURE: Board Member INVESTMENT RELATED: No #HRS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/25/2021 ADDRESS: 9630 Claymount Ln, Fishers IN 46037 DESCRIPTION: Attend Board meetings on a quarterly basis (or as needed). Support the mission of providing a platform to provide financial assistance for the educational needs of underprivileged students and legacies (children of former players of Coach Lou Holtz) as well as support charitable and educational activities and organizations within the communities of its members. 5. ASSOCIATED INVESTOR SERVICES, INC. POSITION: CEO, CCO NATURE: Independent Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/07/2020 ADDRESS: 2699 Stirling Road, A-200, Fort Lauderdale FL 33312, United States DESCRIPTION: My duties in the OBA is CEO, partner, CCO, and financial advisor. As financial advisor I provide financial consulting services for a fee (one time and/or ongoing). 6. ASSOCIATED FINANCIAL CONSULTANTS & INVESTOR SERVICES POSITION: CEO/Shareholder NATURE: DBA/Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/06/2020 ADDRESS: 2699 Stirling Road, A-200, Fort Lauderdale FL 33312, United States DESCRIPTION: The duties of this position are AFC-FIXED INSURANCE SALES AND AIS SECURITY RELATED BUSINESS 7. AFC-AIS HOLDING CORP POSITION: CEO/Shareholder NATURE: Holding Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/09/2021 ADDRESS: 2699 Stirling Road, A-200, Fort Lauderdale FL 33312, United States DESCRIPTION: My position in the organization is CEO/Shareholder, the duties of this position are CEO/Shareholder-owns 25% holding corporation formed in January 2000, owns 100% of Associated Investor Services, Inc. and Associated Financial Consultants, Inc. 8. NOTRE DAME FOOTBALL PLAYER DEVELOPMENT ADVISORY BOARD POSITION: Advisory Board Member NATURE: Advisory Board for Football team at University of Notre Dame INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/13/2026 ADDRESS: 113 Joyce Center, Notre Dame IN 46556, United States DESCRIPTION: As a member of the Advisory Board, my involvement may include: ? Providing insight and guidance related to player development initiatives ? Supporting career exploration, networking, and mentorship opportunities ? Assisting with community engagement and leadership programming ? Sharing professional expertise and life experiences with current players ? Helping strengthen relationships between Notre Dame Football and industry leaders, alumni, and community partners

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-11-07
• S63 Uniform Securities Agent State Law Examination
  2005-12-02

Other Names

• Shawn Wooden