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Shawn Layton

Cetera Investment Advisers LLC
15 Years of Experience
Fairhope, AL
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Shawn Layton is a registered investment advisor at Cetera Investment Advisers LLC, based in Fairhope, AL, with 15 years of industry experience. Shawn is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

Fairhope, AL

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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
September 2019
Denied
Criminal
October 1994
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Shawn uses Layton Advisory Group as a DBA for his LPL business. He also engages in non-variable insurance activities through Layton Advisory Group.

Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2026 - Present · 6 mos
Cetera Advisors LLCBroker
April 2026 - Present · 6 mos
Previous Registrations
LPL Financial LLCBroker
January 2020 - April 2026 · 6 yrs 3 mos
LPL Financial LLC
January 2020 - April 2026 · 6 yrs 3 mos
Securities America Advisors, INC.
December 2015 - January 2020 · 4 yrs 1 mo
Securities America, INC.Broker
December 2015 - January 2020 · 4 yrs 1 mo
Investment Advisors
November 2011 - December 2015 · 4 yrs 1 mo
Proequities, INC.Broker
November 2011 - December 2015 · 4 yrs 1 mo
Ameriprise Financial Services, INC.
October 2011 - November 2011 · 1 mo
Ameriprise Financial Services, INC.Broker
August 2011 - November 2011 · 3 mos
State Registrations9 states
ALAZGAMOMTNCOHTXWA
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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