Jeffrey S. Fannon
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.
Jeffrey Spencer Fannon was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1973. Jeffrey had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 1, Series 53 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
November 3, 2014 - April 5, 2018
ALAMO CAPITAL
June 5, 2003 - September 16, 2014
OPPENHEIMER & CO. INC.
April 5, 2002 - June 12, 2003
CIBC WORLD MARKETS CORP.
January 1, 2001 - February 14, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
June 30, 2000 - January 1, 2001
MJK CLEARING, INC.
March 24, 1999 - April 1, 2002
R.W. SMITH & ASSOCIATES, LLC
November 3, 1995 - July 29, 1998
PACIFIC CREST SECURITIES LLC
August 7, 1991 - May 1, 1992
SHAWMUT BROKERAGE, INC.
January 31, 1980 - May 8, 1991
UBS FINANCIAL SERVICES INC.
February 20, 1973 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS 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
Series 1
Date: 2/13/1973
Registered Representative ExaminationSeries 8
Date: 11/26/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALAMO CAPITAL
CRD#: 26193 / SEC#: , 8-42293
Contact information
FINRA licenses (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 81,684,700 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
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.
