Shawna Lee Waldman

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → 02/2024
  Raymond James Financial Services
  Henderson, NV
• 01/2011 → 02/2024
  Raymond James Financial Services Advisors
  Henderson, NV
• 02/2024 → Present
  Lpl Financial Llc
  Henderson, NV

Previous Registrations

• 2011-01-31 → 2024-02-09
  Raymond James Financial Services Advisors, Inc
  Henderson, NV
• 2010-04-05 → 2011-02-08
  Wells Fargo Clearing Services, Llc
  Henderson, NV
  Las Vegas, NV

Other Businesses

1.02/06/2024; the Southern Nevada Public Television Planned Giving Council; Seminar; Investment Related; 3050 E. Flamingo Rd. Las Vegas,NV; Start Date 03/31/2015; 1hrs/mth; 1-4hrs during trading 2.12/10/2024; Hammurabi; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 08/01/2024; 0hrs/mth; 0hrs during trading 3.12/31/2024; Investment products and services are offered through LPL Financial LLC using the DBA/trade name SWiFT Financial Management; Investment Related; at Reported Business Location(s); Start Date 07/08/2024; 0hrs/mth; 0hrs during trading 4.08/07/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name SWiFT Financial Management; Investment Related; at Reported Business Location(s); Start Date 02/09/2024; 172hrs/mth; 172hrs during trading

Exams

• S66 Uniform Combined State Law Examination
  2010-03-30
• S63 Uniform Securities Agent State Law Examination
  1996-03-22

Other Names

• Shawna Lee Waldman-Ridgway