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Shawn Ecklund
29 Years of Experience
Upland, CA
5 DisclosuresBroker
Shawn Ecklund is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Upland, CA, with 29 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
1125 East 16th Street, Suite 1, Upland, CA, 91784
Get directionsHistory
Regulatory History (5)
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Customer Dispute
April 2016Denied
Judgment / Lien
May 2015Judgment / Lien
August 2011Customer Dispute
November 2006Settled
Customer Dispute
March 2002Denied
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2009 - Present · 17 yrs 4 mos
Raymond James Financial Services, INC.Broker
May 2008 - Present · 18 yrs
Previous Registrations
Raymond James Financial Services
June 2008 - January 2009 · 7 mos
Glencrest Investment Advisors, INC.
January 2007 - May 2008 · 1 yr 4 mos
Glencrest Investment Advisors, INC.
March 2003 - December 2005 · 2 yrs 9 mos
Dfc Investor ServicesBroker
June 2002 - June 2006 · 4 yrs
Salomon Smith Barney INC.Broker
November 1998 - November 2001 · 3 yrs
Dean Witter Reynolds INC.Broker
December 1995 - November 1998 · 2 yrs 11 mos
State Registrations10 states
AKAZCAFLIDMONMORTXUT
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.