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SJ

Shannon D. Jemmoth

STONECASTLE SECURITIES
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 1603006
SJ

Professional summary

Shannon Demetri Jemmoth is a registered financial professional currently at STONECASTLE SECURITIES, LLC located in New York, New York.

Shannon is registered as a RR (Registered Representative) and started their career in finance in 2012. Shannon has worked at 1 firm and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shannon Demetri Jemmoth's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 3, 2012 - Present

STONECASTLE SECURITIES, LLC

Office #1: 152 West 57th Street 52nd Floor, New York, NY 10019
BD
CRD#: 131211
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/2/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STONECASTLE SECURITIES, LLC
STONE CASTLE SECURITIES, LLC | STONECASTLE SECURITIES, LLC

CRD#: 131211 / SEC#: , 8-66434

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
152 West 57th Street 52nd Fl, New York, NY 10019
Mailing Address
152 West 57th Street 52nd Floor, New York, NY 10019
Phone number
212-354-6500 X. 304
Established
Delaware since 03/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STONECASTLE PARTNERS, LLCSOLE MEMBER
HOLMEN, ROBERT CHRISTOPHERPRESIDENT, CCO2919060

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.

Company Information

STONECASTLE SECURITIES, LLC

CRD#: 131211New York, NY 10019

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