Shawn Christopher Noe

LPl Financial LLC

CRD 5143209

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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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
AK	RA	APPROVED	2025-06-05
AZ	RA	APPROVED	2025-06-05
CA	RA	APPROVED	2025-06-05
IL	RA	APPROVED	2025-06-05
NV	RA	APPROVED	2025-06-05

AK RA
APPROVED

Since 2025-06-05
AZ RA
APPROVED

Since 2025-06-05
CA RA
APPROVED

Since 2025-06-05
IL RA
APPROVED

Since 2025-06-05
NV RA
APPROVED

Since 2025-06-05

Branch Locations

Sahuarita, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Western International Securities, Inc.	Sahuarita	AZ	08/2007	Present
Lpl Financial Llc	Sahuarita	AZ	06/2025	Present

08/2007 → Present

Western International Securities, Inc.

Sahuarita, AZ
06/2025 → Present

Lpl Financial Llc

Sahuarita, AZ

Previous Registrations

2007-08-22 → 2025-06-05

Western International Securities, Inc.

Sahuarita, AZ

Crystal Bay, NV

Sahuarita, AZ

Other Businesses

1) Health, Life, and Variable Insurance; Investment-Related; Agent 2) Azimuth Financial Group, Ltd.; Investment-Related; DBA for Securities Business

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-07-25

S66 Uniform Combined State Law Examination

2006-07-25

View on SEC IAPD

More in Sahuarita, AZ

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