Constance D. 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.
Constance Dye Shannon, who also goes by Constance Ann Dye, Constance Ann Shannon, was a registered financial professional .
Constance is a previously registered financial professional and started their career in finance in 1987. Constance had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2004 - July 15, 2013
GRAND DISTRIBUTION SERVICES, LLC
June 12, 1995 - October 20, 2020
DISTRIBUTION SERVICES, LLC
September 4, 1990 - July 1, 1991
WELLS FARGO CLEARING SERVICES, LLC
July 7, 1988 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
September 22, 1987 - April 25, 1988
J.P. MORGAN 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
Series 8
Date: 3/7/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GRAND DISTRIBUTION SERVICES, LLC
CRD#: 127700 / SEC#: , 8-66033
Contact information
Documents
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.
