Helen A. Shannon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Helen Ainsworth Shannon, who also goes by Helen Julie Ainsworth, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1988. Helen had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2019 - December 5, 2022
INSPEREX LLC
June 15, 2015 - March 14, 2019
ROBERT W. BAIRD & CO. INCORPORATED
October 5, 2011 - May 5, 2015
STERNE, AGEE & LEACH, INC.
February 25, 2011 - August 26, 2011
CITADEL SECURITIES LLC
May 7, 2009 - February 16, 2011
CHAPDELAINE TULLETT PREBON, LLC
July 10, 2008 - May 4, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 1, 1998 - November 28, 2007
BANC OF AMERICA SECURITIES LLC
August 22, 1994 - October 1, 1998
BANCAMERICA SECURITIES, INC.
January 18, 1990 - September 6, 1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
January 19, 1988 - September 7, 1989
FIRST OPTIONS OF CHICAGO, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INSPEREX LLC
CRD#: 101420 / SEC#: , 8-52081
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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