Shawn Warren
Shawn Warren is a registered investment advisor at Osaic Advisory Services, LLC, based in Flower Mound, TX, with 28 years of industry experience. Shawn operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 1 more. Their firm serves 28,410 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Advisors offers investment management through several programs:
- Ally Account: Fees are negotiable, with a maximum annual fee of 2.50%. Transaction charges apply.
- Counsel Account: Fees are negotiable, with a maximum annual fee of 2.50%. This is a wrap account, so the fee covers both advice and transactions.
- Partner Program: Access to third-party managers with varying fees. Osaic either receives a portion of the fee or charges a separate consulting fee.
- Plan Participant Retirement Program: Maximum 3% annual fee, either fixed or tiered, based on assets in your retirement plan account.
Location
2201 Spinks Rd #242, Flower Mound, TX, 75022
Get directionsHistory
Regulatory History (3)
Customer Dispute
October 2011Customer Dispute
September 2011Customer Dispute
July 2009Other Business Activities
Shawn is an Investment Advisor Representative (IAR) with Securities America Advisors and Arbor Point Advisors. He also serves as an Investment Registered Advisor for SABRES Financial Services, dedicating full-time hours to financial planning and wealth management, and acts as a trustee for a special needs trust, and is involved in buying/selling music gear.
Employment History
Current Registrations
Osaic Advisory Services, LLC
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Arbor Point Advisors
Securities America, INC.Broker
Securities America Advisors, INC.
United Planners' Financial Services of America a Limited PartnerBroker
American Financial Network Advisory Services, LLC
Securities America Advisors, INC.
Securities America, INC.Broker
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Royal Alliance Associates, INC.Broker
State Registrations21 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.