Shane M. Davis
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.
Shane Michael Davis was a registered financial professional .
Shane is a previously registered financial professional and started their career in finance in 1986. Shane had worked at 13 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2011 - January 18, 2012
SIGNATOR INVESTORS, INC.
March 18, 2011 - May 27, 2011
NEW ENGLAND SECURITIES
April 21, 2009 - March 3, 2011
NEW ENGLAND SECURITIES
May 24, 2007 - April 20, 2009
PRUCO SECURITIES, LLC.
August 14, 2006 - May 10, 2007
OSAIC SERVICES, INC.
September 8, 2000 - February 7, 2006
FARMERS FINANCIAL SOLUTIONS, LLC
November 25, 1998 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
October 31, 1997 - November 16, 1998
FORESTERS EQUITY SERVICES, INC.
December 5, 1996 - October 31, 1997
GUARDIAN INVESTOR SERVICES LLC
October 11, 1995 - December 12, 1996
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 27, 1995 - September 26, 1995
BMA FINANCIAL SERVICES, INC.
November 1, 1991 - February 7, 1995
LUTHERAN BROTHERHOOD SECURITIES CORP.
July 27, 1989 - December 23, 1991
FIDELITY EQUITY SERVICES CORPORATION
December 12, 1986 - June 27, 1989
AMERITAS INVESTMENT COMPANY, LLC
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
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
