Shawn Dewayne Worman

Current Employers

Employment History

• 06/2010 → 09/2020
  Lpl Financial Llc
  Mt Vernon, IN
• 06/2010 → 09/2020
  Old National Bank
  Mt Vernon, IN
• 09/2020 → Present
  Kestra Investment Services, Llc
  Mt Vernon, IN
• 09/2020 → Present
  Kestra Advisory Services, Llc
  Mt Vernon, IN

Previous Registrations

• 2010-06-29 → 2020-09-23
  Lpl Financial Llc
  Fort Mill, SC
  Mount Vernon, IN
  Evansville, IN
  Evansville, IN
• 2006-12-15 → 2010-06-25
  Fifth Third Securities, Inc.
  New Harmony, IN
  Mt Vernon, IN
  Mt. Vernon, IN
  Wadesville, IN

Other Businesses

Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Prkwy bldg 2 suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: principal, iar Start Date: 9/10/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Principal Name: Harmonie Wealth Group Investment Related: Yes Address: 206 Main St Mt Vernon IN 47620 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Registered Field Assistant; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: IAR Start Date: 9/10/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Principal and producer Name: Ash Brokerage for Fixed Annuities Investment Related: Yes Address: 888 S Harrison St Suite 900 Ft Wayne IN 46802 Nature of Business: Insurance Position, Title or Relationship: Principal/Wealth Advisor at Harmonie Wealth Group. I will be using Ash Brokerage to write Fixed annuity business. Start Date: 9/8/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Wealth Advisor for Harmonie Wealth Group Name: Harmonie Wealth Group Investment Related: No Address: 206 Main St Mt Vernon IN 47620 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: Owner Start Date: 1/25/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Owner. I would hire someone to manage the tax preparation business. Name: WN LLC POSITION: Owner and operator NATURE: Real Estate INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/28/2019 ADDRESS: 737 E Church St, New Harmony IN 47631, United States DESCRIPTION: Owner NAME: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/08/2020 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR NAME: ASH BROKERAGE FOR FIXED ANNUITIES POSITION: Principal/Wealth Advisor at Harmonie Wealth Group. I will be using Ash Brokerage to write Fixed annuity business. NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 4 START DATE: 09/08/2020 ADDRESS: 888 S Harrison St Suite 900, Ft Wayne IN 46802, United States DESCRIPTION: Wealth Advisor for Harmonie Wealth Group NAME: HARMONIE WEALTH GROUP POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 152 SECURITIES TRADING HOURS: 80 START DATE: 09/10/2020 ADDRESS: 206 Main St, Mt Vernon IN 47620, United States DESCRIPTION: Principal and producer Name: ONE NEW HARMONYPOSITION: Treasurer NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: 407 Tavern St PO Box 45, New Harmony IN 47631, United States DESCRIPTION: Pay bills, deposit checks and attend board meetings. Name: HARMONIE WEALTH GROUP POSITION: Owner NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/02/2026 ADDRESS: 733 E. 4th St, Mt Vernon IN 47620, United States DESCRIPTION: Owner.

Exams

• S66 Uniform Combined State Law Examination
  2006-11-30
• S63 Uniform Securities Agent State Law Examination
  2001-08-20