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Shawn Gormley

LPL Financial LLC
25 Years of Experience
Honolulu, HI
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Shawn Gormley is a registered investment advisor at LPL Financial LLC, based in Honolulu, HI, with 25 years of industry experience. Shawn is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3465 Waiale Ave, Honolulu, HI, 96816

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2020
Denied
Criminal
November 1995
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Shawn operates under two DBAs: Central Pacific Investment Services and CP Investment Services, both related to his LPL business. These activities are investment-related and take up Shawn's full-time work hours.

Employment History
Current Registrations
LPL Financial LLC
February 2021 - Present · 5 yrs 8 mos
LPL Financial LLC
February 2021 - Present · 5 yrs 8 mos
LPL Financial LLCBroker
February 2021 - Present · 5 yrs 8 mos
Previous Registrations
TD Ameritrade, INC.
June 2019 - January 2021 · 1 yr 7 mos
TD Ameritrade Investment Management, LLC
June 2019 - December 2020 · 1 yr 6 mos
TD Ameritrade, INC.Broker
February 2018 - January 2021 · 2 yrs 11 mos
Cetera Investment Services LLCBroker
April 2017 - January 2018 · 9 mos
LPL Financial LLCBroker
August 2012 - April 2017 · 4 yrs 8 mos
Nylife Securities LLCBroker
December 2010 - August 2012 · 1 yr 8 mos
Bancwest Investment Services, INC.
October 2005 - October 2009 · 4 yrs
Bancwest Investment Services, INC.Broker
October 2005 - October 2009 · 4 yrs
AXA Advisors, LLCBroker
April 2004 - October 2004 · 6 mos
Raymond James Financial Services, INC.Broker
February 1999 - November 2002 · 3 yrs 9 mos
Robert Thomas Securities, INCBroker
August 1997 - July 1998 · 11 mos
Foster Jeffries Securities CORP.Broker
April 1997 - June 1997 · 2 mos
State Registrations8 states
CACTHIMANVNYTXWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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