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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

Shawn D Harshman

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BOULDER, CO

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Search this name across graphsid dfx:ria:bbc91022-cd6f-7702-12b1-1bab5728c26b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 27, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Nov 1, 2002
First registration: Jan 27, 2006
Dual registered: yes, broker-dealer
Other names: SHAWN D HARSHMAN|SHAWN DAVID HARSHMAN
IAPD individual key: 4440562

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 21, 2020	n/a	yes	BOULDER, CO	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	May 1, 2008	Jun 4, 2020	no	BROOMFIELD, CO\|BOULDER, CO	Previous registration
LIGHTHOUSE FINANCIAL LLC	Former SEC adviser	Jun 15, 2007	Feb 9, 2016	no	BOULDER, CO	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Jan 27, 2006	May 2, 2008	no	BOULDER, CO\|BROOMFIELD, CO\|BOULDER, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 4, 2020	May 21, 2020	-14	Firm change	Ibd to wirehouse
LIGHTHOUSE FINANCIAL LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Feb 9, 2016	May 1, 2008	-2,840	Firm change after gap	Other
CETERA ADVISOR NETWORKS LLC	LIGHTHOUSE FINANCIAL LLC	May 2, 2008	Jun 15, 2007	-322	Firm change after gap	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
May 21, 2020 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
May 1, 2008 to Jun 4, 2020factForm ADV
→ LIGHTHOUSE FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 15, 2007 to Feb 9, 2016factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Jan 27, 2006 to May 2, 2008factForm ADV

Dated events

No dated event names this entity yet.