Thomas Shockman (CRD# 1791982) is an Investment Advisor Representative working at Shockman Financial in Fargo, ND and has over 36 years of experience in the finance industry.
CRD# 2591356
Commonwealth Financial Network
CRD# 2563463
Ubs Financial Services Inc.
CRD# 2122017
Osaic Wealth, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Shockman Financial | Fargo, ND | Nov 2021 - Current | 2 |
| Shockman Financial, LLC | Fargo, ND | Aug 2019 - Current | 4 |
| Advisornet Wealth Managment | Minneapolis, MN | Aug 2019 - Dec 2021 | 2 |
| Cetera Advisor Networks | El Segundo, CA | Aug 2019 - Oct 2021 | 2 |
| International Assets Advisory, LLC | Fargo, ND | Sep 2015 - Aug 2019 | 3 |
| Park Avenue Securities | Fargo, ND | Nov 2001 - Sep 2015 | 13 |
| Guardian Life Insurance Co | Fargo, ND | Apr 2000 - Sep 2015 | 15 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Apr 1988 |
| S65 | NASAA Investment Advisors Law Examination | Aug 2015 |
- MN
- ND
- TX
-
Total Assets Under Management27MILLIONS
-
Total Number of Accounts226ACCOUNTS
-
Average Account Value$118,348
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
MN, ND, TX
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