Shane Baack, financial advisor Seward NE

Shane Baack

CRD Number: 5515243
Current Firm: Principal Securities, Inc.

Shane Baack (CRD# 5515243) is an Investment Advisor Representative working at Principal Securities, Inc. in Seward, NE and has over 15 years of experience in the finance industry. Shane Baack 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
Jones Insurance Agency, Inc. Seward, NE Jan 2022 - Current 2
Jones Group Seward, NE Jul 2019 - Current 4
Principal Securities Seward, NE Mar 2016 - Current 8
Jones Financial Services Seward, NE Apr 2012 - Current 11
Principal Life Insurance Co Seward, NE Apr 2008 - Current 15
Union Financial, Inc. Seward, NE Sep 2019 - Dec 2020 1
Kolterman Agency Inc. Seward, NE Dec 2009 - Jun 2018 8
Princor Financial Services Co Seward, NE Apr 2008 - Mar 2016 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2008
S65 NASAA Investment Advisors Law Examination Jun 2014
Contact Info for Shane M. Baack
Phone Number: 888-774-6267
Registered State(s):
  • NE
By the Numbers
  • Total Assets Under Management
    9,417
    MILLIONS
  • Total Number of Accounts
    46,075
    ACCOUNTS
  • Average Account Value
    $204,381
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • 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, 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, WY

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