Shannon Smith
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.
Shannon Smith, who also goes by Mary Shannon Smith, Maryshannon Smith, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1992. Shannon had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2015 - August 5, 2015
HCFP/CAPITAL MARKETS LLC
November 5, 2010 - April 8, 2015
AURIGA USA, LLC
February 25, 2010 - November 8, 2010
MISSION CAPITAL LLC
October 21, 2004 - September 4, 2008
TERWIN CAPITAL, LLC
October 16, 2000 - April 15, 2004
CREDIT SUISSE SECURITIES (USA) LLC
March 24, 1999 - October 16, 2000
PERSHING LLC
October 7, 1992 - August 9, 1993
KIDDER, PEABODY & CO. INCORPORATED
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
HCFP/CAPITAL MARKETS LLC
CRD#: 149111 / SEC#: , 8-68107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KATZ, MARIE | FINANCIAL AND OPERATIONS PRINCIPAL AND CCO | 2457660 |
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.
