Shawn Lewis Houk

Current Employers

Employment History

• 08/1998 → Present
  Sports Officiating
  Oklahoma City, OK
• 04/2016 → 02/2017
  H.D. Vest Investment Services
  Oklahoma City, OK
• 04/2016 → 02/2017
  H.D. Vest Insurance Agency Inc.
  Irving, TX
• 02/2017 → 06/2024
  Securities America, Inc.
  Oklahoma City, OK
• 02/2017 → 06/2024
  Securities America Advisors
  Oklahoma City, OK
• 06/2024 → Present
  Osaic Wealth, Inc.
  Oklahoma City, OK

Previous Registrations

• 2017-02-24 → 2024-06-14
  Securities America Advisors, Inc.
  Oklahoma City, OK
  Oklahoma City, OK

Other Businesses

1. DBM Wealth Management- DBA POSITION: IAR NATURE: Investment Advisory Services INVESTMENT RELATED: Yes HOURS: 160 SECURITY TRADING HOURS: 120 START DATE: 120 ADDRESS: Oklahoma City, OK 73120 DESCRIPTION: Securities business, advise clients regarding investments, reallocation, depositing, withdrawing of monies. 2. NW OKC CHAMBER - BETHANY, OKLAHOMA POSITION: Ambassador / Board Member NATURE: Chamber member, serving as an Ambassador. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2023 ADDRESS: Bethany, OK 73008 DESCRIPTION: Board Member - oversee the Chamber, vote on issues, assist in directing and guiding Chamber activities 3. ROTARY INTERNATIONA POSITION: Member / Volunteer NATURE: Rotary International INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 4 START DATE: 03/05/2019 ADDRESS: Oklahoma City, OK 73120 DESCRIPTION: Member, Volunteer 4. SUPERVISORY COMMITTEE POSITION: Member NATURE: Credit Union INVESTMENT RELATED: No HOURS: 5 SECURITY TRADING HOURS: START DATE: ADDRESS: Oklahoma City, OK 73104 DESCRIPTION: Supervisory Committee responsible for ensuring financial condition of TFFCU is accurately & fairly presented in requested & submitted financial statements. Committee responsible to ensure that management practices & procedures are sufficient to safeguard TFFCU member's assets. Committee is responsible for assisting Board in fulfilling oversight responsibilities concerning internal controls, risk management, audit process, & monitoring financial compliance. Supervisory Committee is responsible for: Appointing, compensating, overseeing & discharging independent auditors or firms employed by TFFCU to conduct annual financial audit 5. SPORTS OFFICIATING POSITION: Official NATURE: INVESTMENT RELATED: HOURS: SECURITY TRADING HOURS: START DATE: ADDRESS: DESCRIPTION: Officiate Sports- football, baseball. Answer questions from head coach, listen to complaints from players, coaches and fans. File reports after the game. 6. SHAWN HOUK POSITION: Sales NATURE: Life insurance and LTC insurance sales INVESTMENT RELATED: No HOURS: 10 SECURITY TRADING HOURS: 10 START DATE: 10 ADDRESS: Oklahoma City, OK 73120 DESCRIPTION: Selling of life insurance along with selling of long term care insurance. 7. BOARD OF DIRECTORS POSITION: Member NATURE: Credit Union INVESTMENT RELATED: No HOURS: 2 SECURITY TRADING HOURS: 2 START DATE: 2 ADDRESS: DESCRIPTION: attend monthly mtgs. 8. FBI OKLAHOMA CITY CITIZENS ACADEMY ALUMNI ASSOCIATION - FBIOKCCAAA POSITION: President NATURE: FBI Citizens Academy Alumni Association - extension and public outreach for FBI INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 4 START DATE: 08/01/2023 ADDRESS: Oklahoma City, OK 73147 DESCRIPTION: Involved with volunteer activities, communication with members, set up quarterly membership activities / luncheons 9. OKC Metro Officials Association POSITION: President NATURE: Association INVESTMENT RELATED: No HOURS: 5 SECURITY TRADING HOURS: 0 START DATE: 0 ADDRESS: Oklahoma City, OK 73109 DESCRIPTION: Oversee the entire association Establish and conduct quarterly and annual board/membership mtgs. Attend weekly rules mtgs, oversee all other officers of the association. Communicate with other associations affiliated with sports officiating in the state. 10. SHAWN HOUK POSITION: Sales NATURE: Life insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/21/2017 ADDRESS: 9428 Westgate Road, Suite 104 G, Oklahoma City OK 73162 DESCRIPTION: Selling of Life Insurance 11. LAND LEASE POS: None NATURE: None. This is income received once a year for the lease of inherited land to cattle companies. INV REL: No NO OF HRS: 0 SECS TRADING HRS: 0 DATE: 01/01/03 ADD: 11600 SW 14th St, Yukon OK 73099 DESC: No duties. Once a year, go to mail box, collect check, take check to bank. On occasion, visit with Cattle Company owners regarding the land and lease.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-11-22
• S63 Uniform Securities Agent State Law Examination
  1998-08-31