Shawn Smith has been an investment adviser representative at Collaborative Wealth Management since February 2020, and is not listed among the firm’s executive officers or direct owners.
Collaborative Wealth Management, Inc. is a Lake Mary, FL firm with $653M under management, 937 clients and 9 advisers across 4 offices, as of its March 2026 filing.
Shawn Smith’s longest registration is the current one, 6 years at Collaborative Wealth Management since 2020. Before joining Collaborative Wealth Management in 2020, Shawn Smith was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Collaborative WealthCurrent– present · 6 yearsSanford, FL · Adviser representative · Firm CRD 142106
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 2 yearsSan Diego, CA · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Shawn Smith is registered as an investment adviser representative in Florida, since February 2020.
- FloridaSince 19 February 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 December 2016 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 January 2015 |
| Series 7 | General Securities Representative Examination | 10 March 2014 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Shawn Matthew Smith
- CRD
- 6183746
- Firm
- Collaborative Wealth Management · CRD 142106
- Office
- Sanford, FL
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2014
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Shawn Smith work?
Shawn Smith is an investment adviser representative registered through Collaborative Wealth Management, Inc. since February 2020, and is not listed among the firm’s executive officers or direct owners.
Is Shawn Smith a financial advisor?
Yes. Shawn Smith has a current investment-adviser registration in Florida, through Collaborative Wealth Management since February 2020.
How many years of experience does Shawn Smith have?
Shawn Smith has 12 years in the financial industry, since April 2014, across 2 adviser firms.
What exams has Shawn Smith passed?
Shawn Smith has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in March 2014. FINRA credited Shawn Smith with the SIE, which began in October 2018.
Where did Shawn Smith work before Collaborative Wealth Management?
Before Collaborative Wealth Management, Shawn Smith was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, December 2016 to August 2019.
Where is Shawn Smith based?
Shawn Smith’s registered office is in Sanford, FL.
Is Shawn Smith registered with FINRA?
Yes. Shawn Smith has a current broker registration, under CRD 6183746.
Source: FINRA BrokerCheck
How can I verify Shawn Smith’s record?
Search CRD 6183746 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Shawn Smith’s full registration record.
