Thomas Shockman is a registered investment advisor at Shockman Financial, based in Fargo, ND, with 36 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 121 clients with $36M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Fees may be waived or negotiated for certain clients.
Fee Estimator
Location
2505 N University Dr, Suite 201, Fargo, ND, 58102
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas sells fixed insurance products, including life, health, disability, annuities, and long-term care. He also owns Shockman Financial Companies, LLC, providing financial services to clients, dedicating about a quarter of his time. Additionally, Thomas officiates high school football between September and November, spending a few hours per week.
Employment History
Current Registrations
Shockman Financial
Previous Registrations
Advisornet Wealth Management
Cetera Advisor Networks LLCBroker
International Assets Investment Management, LLC
International Assets Advisory, LLCBroker
Park Avenue Securities LLCBroker
Walnut Street Securities, INC.Broker
Washington Square Securities, INC.Broker
Equico Securities, INC.Broker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.