Richard R. Shanley
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.
Richard Ray Shanley, who also goes by Rick Shanley, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 10 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2008 - January 21, 2014
J.P. TURNER & COMPANY, L.L.C.
January 1, 2004 - December 23, 2008
VOYA FINANCIAL ADVISORS, INC.
June 7, 1999 - January 1, 2004
LOCUST STREET SECURITIES, INC.
April 8, 1997 - March 15, 1999
WALNUT STREET SECURITIES, INC.
May 3, 1996 - April 22, 1997
WMA SECURITIES, INC.
January 15, 1996 - May 7, 1996
1717 CAPITAL MANAGEMENT COMPANY
February 3, 1995 - November 15, 1995
NORTH AMERICAN MANAGEMENT, INC.
April 19, 1994 - December 31, 1994
NORTH AMERICAN MANAGEMENT, INC.
April 26, 1993 - March 31, 1994
MML INVESTORS SERVICES, LLC
June 28, 1991 - April 6, 1993
SECURIAN FINANCIAL SERVICES, INC.
October 2, 1987 - June 3, 1991
PRUCO SECURITIES, 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
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
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