Shawn Stites has been Chief Compliance Officer, General Partner of Stites Financial Consulting since May 2018, is a control person of the firm and directly owns 75% or more of it. Shawn Stites holds a B.A. in Music from California State University Sacramento.
Stites Financial Consulting is a Wilton, CA firm with $132M under management, 265 clients and 2 advisers in one office, as of its March 2026 filing.
Shawn Stites is Chief Compliance Officer of Stites Financial Consulting, based in Wilton, California. As Chief Compliance Officer, Stites supervises all activities of the firm and adheres to applicable regulatory requirements and the policies in the firm's code of ethics and compliance manual.
Shawn Stites’ longest registration is the current one, 8 years at Stites Financial Consulting since 2018. Before joining Stites Financial Consulting in 2018, Shawn Stites was registered through United Planners' Financial Services of America A Limited Partner and SSN Advisory, Inc.
- Stites Financial ConsultingCurrent– present · 8 yearsWilton, CA · Adviser representative · Firm CRD 293058
- United Planners' Financial Services of America A Limited Partner– · 2 yearsRoseville, CA · Adviser representative · Firm CRD 20804
- SSN Advisory, Inc.– · 4 yearsRoseville, CA · Adviser representative · Firm CRD 126090
- Woodbury Financial Services, Inc.– · 3 yearsElk Grove, CA · Adviser representative · Firm CRD 421
Investment adviser representative registrations
Shawn Stites is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from June 2018; the most recent is Idaho, in March 2022.
- CaliforniaSince 6 July 2018
- IdahoSince 14 March 2022
- TexasResidentSince 20 June 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 26 August 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 February 2001 |
| Series 7 | General Securities Representative Examination | 29 January 2001 |
- 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 David Stites
- CRD
- 4316676
- Firm
- Stites Financial Consulting · CRD 293058
- Role
- Chief Compliance Officer, General Partner
- Office
- 9516 CLAY STATION ROAD, Wilton, CA 95693
- Registration
- Investment adviser registration
- In the industry since
- January 2001
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- stitesfc.com
Where does Shawn Stites work?
Shawn Stites has been Chief Compliance Officer, General Partner of Stites Financial Consulting since May 2018, and is a control person of the firm.
Is Shawn Stites a financial advisor?
Yes. Shawn Stites has a current investment-adviser registration in California, Idaho and Texas, through Stites Financial Consulting since June 2018.
How many years of experience does Shawn Stites have?
Shawn Stites has 25 years in the financial industry, since January 2001, across 4 adviser firms.
What exams has Shawn Stites passed?
Shawn Stites has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in January 2001. FINRA credited Shawn Stites with the SIE, which began in October 2018.
Where did Shawn Stites work before Stites Financial Consulting?
Before Stites Financial Consulting, Shawn Stites was registered through SSN Advisory, Inc., September 2012 to November 2016; Woodbury Financial Services, Inc., September 2009 to September 2012.
Where is Shawn Stites based?
Shawn Stites’ registered office is in Wilton, CA.
Is Shawn Stites registered with FINRA?
No. Shawn Stites has no current broker registration.
How can I verify Shawn Stites’ record?
Search CRD 4316676 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Shawn Stites’ full registration record.