Roger Shawn, financial advisor Glen Allen VA
96 score

Roger Shawn

CRD Number: 4486162
Current Firm: Capitol Securities Management, Inc.

Roger Shawn (CRD# 4486162) is an Investment Advisor Representative working at Capitol Securities Management, Inc. in Glen Allen, VA and has over 14 years of experience in the finance industry. Roger Shawn has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Capitol Securities Glen Allen, VA Aug 2009 - Current 7
Anderson & Strudwick, Inc. Richmond, VA Sep 2005 - Aug 2009 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2002
Contact Info for Roger J. Shawn
Phone Number: 888-612-1484
Registered State(s):
  • CA
  • CO
  • PA
  • SC
  • VA
  • OR
  • CT
  • FL
  • MD
  • NJ
  • NC
  • TX
By the Numbers
  • Total Assets Under Management
    539
    MILLIONS
  • Total Number of Accounts
    1,789
    ACCOUNTS
  • Average Account Value
    $301,110
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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