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SH

Shannon E. Hull

Some features on this profile are disabled
CRD#: 1975241
SH

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 Elaine Hull was a registered financial professional .

Shannon is a previously registered financial professional and started their career in finance in 1992. Shannon had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 53, Series 24 and Series 8 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.
EMPLOYER: NASD DISPUTE RESOLUTION TITLE:ARBITRATOR TYPE OF BUSINESS: ARBITRATION AMOUNT OF COMPENSATION: VARIES PER ASSIGNMENT

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 23, 2023 - January 2, 2024

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
Charlotte, NC
Past

November 3, 2011 - January 2, 2024

WESTEND ADVISORS, LLC

RIA
CRD#: 133279
CHARLOTTE, NC
Past

October 6, 2010 - October 11, 2011

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
CHARLOTTE, NC
Past

October 6, 2010 - October 11, 2011

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
CHARLOTTE, NC
Past

July 22, 2009 - October 13, 2010

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
CHARLOTTE, NC
Past

July 22, 2009 - October 13, 2010

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
CHARLOTTE, NC
Past

October 22, 2007 - January 14, 2009

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
CHARLOTTE, NC
Past

October 19, 2007 - January 14, 2009

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
CHARLOTTE, NC
Past

January 4, 2006 - June 12, 2007

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
CASPER, WY
Past

January 3, 2006 - June 12, 2007

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
CASPER, WY
Past

November 3, 2004 - November 12, 2004

POWELLJOHNSON

RIA
CRD#: 122956
CHARLOTTE, NC
Past

April 25, 2003 - October 29, 2004

POWELLJOHNSON

RIA
CRD#: 122956
CHARLOTTE, NC
Past

December 20, 2002 - October 29, 2004

POWELLJOHNSON

BD
CRD#: 122956
NASHVILLE, TN
Past

December 31, 2001 - May 6, 2002

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

August 14, 2000 - May 6, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 23, 1998 - August 14, 2000

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

July 15, 1992 - March 4, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC

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

State Security Law Exam
RR
Series 63
Date: 7/17/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/21/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/23/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/23/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/6/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/8/2003
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

VC
VICTORY CAPITAL SERVICES, INC.
CHS INVESTMENT SERVICES, INC. | VICTORY INCOME INVESTORS | VICTORY FUNDS | VICTORY CAPITAL SERVICES, INC. | VICTORY CAPITAL ADVISERS, INC. | TRIVALENT INVESTMENTS | THE ONE GROUP SERVICES COMPANY | SYCAMORE CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | ONE GROUP SERVICES COMPANY (THE) | OGSC DISTRIBUTOR, INC. | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | INTEGRITY ASSET MANAGEMENT

CRD#: 37059 / SEC#: , 8-47577

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

Main Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Phone number
(216) 898-2400
Established
Delaware since 06/03/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VICTORY CAPITAL OPERATING, LLCSOLE SHAREHOLDER
INKS, DONALD ANTHONYCHIEF OPERATIONS OFFICER2311245
MATHES, CHARLES BCHIEF COMPLIANCE OFFICER5980160
POLICARPO, MICHAEL DENNIS IIPRESIDENT4316912
PONTE, CHRISTOPHER ANTONICFO/FINOP5968469

Disclosures

Regulatory Event1

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

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

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