SM
SM
Shawn Marks
30 Years of Experience
Winnetka, IL
1 DisclosureBroker
Shawn Marks is a registered investment advisor at J.P. Morgan Securities LLC, based in Winnetka, IL, with 30 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, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B
Fee Structure
Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 0.60% |
| $250K+ | 0.50% |
Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
791 Elm St, Winnetka, IL, 60093
Get directionsHistory
Regulatory History (1)
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 2013Settled
Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
October 2012 - Present · 14 yrs
J.P. Morgan Securities LLC
October 2012 - Present · 14 yrs
Previous Registrations
Chase Investment Services CORP.Broker
July 2005 - October 2012 · 7 yrs 3 mos
Chase Investment Services CORP.
July 2005 - October 2012 · 7 yrs 3 mos
Banc One Securities Corporation
February 2003 - July 2005 · 2 yrs 5 mos
Banc One Securities CorporationBroker
February 2003 - July 2005 · 2 yrs 5 mos
Morgan Stanley
July 2001 - December 2002 · 1 yr 5 mos
Morgan Stanley Dw INC.Broker
May 2001 - December 2002 · 1 yr 7 mos
William Blair & Company L.L.C.Broker
January 2000 - May 2001 · 1 yr 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1995 - January 2000 · 4 yrs 1 mo
State Registrations32 states
ALARAZCACOCTFLGAIAILINKYLAMAMDMEMIMNNHNJNMNVNYOHORPATNTXUTVAWAWI
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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