Shane Waller, financial advisor Provo UT
90 score

Shane Waller

CRD Number: 6121989
Current Firm: Northwestern Mutual Investment Services,llc

Shane Waller (CRD# 6121989) is an Investment Advisor Representative working at Northwestern Mutual Investment Services,llc in Provo, UT and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Northwestern Mutual Investment Services, LLC Provo, UT Sep 2013 - Current 3
Northwestern Mutual Life Insurance Company Milwaukee, WI Aug 2013 - Current 3
Wells Fargo Advisors ,llc. American Fork, UT Sep 2012 - Aug 2013 < 1
Wells Fargo Bank Na American Fork, UT Apr 2011 - Aug 2013 2
Hadco Construction Lehi, UT Feb 2011 - Apr 2011 < 1
Lds Church Arcadia, CA Jan 2009 - Jan 2011 2
Unemployed Lehi, UT Oct 2008 - Jan 2009 < 1
Displayit Inc. Forest Green, CA Apr 2008 - Oct 2008 < 1
Self Employed Lehi, UT Sep 2002 - Apr 2008 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2012
S65 NASAA Investment Advisors Law Examination Dec 2012
Contact Info for Shane J. Waller
Phone Number: 866-664-7737
Registered State(s):
  • UT
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

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

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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