Shawn Thomas Waltz
Investment adviser representative at Dunham
16 yearsExperience
1 stateRegistered in
$5.6BFirm assets
40 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feePerformance-based
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
Experience
16 years in the industry.
- DunhamJul 2019 to now
- Dunham & Associates Investment Counsel, Inc.Jul 2019 to now
- Pershing LLCSep 2011 to Jul 2019
- Lockwood Advisors, IncJul 2010 to Jul 2019
Exams passed
- Series 65 · Uniform Investment Adviser Law2009
- Series 63 · Uniform Securities Agent State Law2015
State registrations
Registered as an investment adviser representative in 1 state (CA).
Dunham
Legal name: Dunham & Associates Investment Counsel, Inc.
$5.6BAssets managed
13,155Clients
31Advisers
40 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4675145
- Firm CRD
- 13162