Shannon M. Barry
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 Michelle Barry, who also goes by Shannon Michelle Barry, Shannon Michelle Neslen, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1997. Shannon had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 31, Series 7, Series 6, Series 24 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2019 - May 28, 2021
CETERA WEALTH SERVICES, LLC
September 13, 2019 - May 28, 2021
CETERA WEALTH SERVICES, LLC
July 2, 2019 - July 31, 2019
PRINCIPAL ADVISED SERVICES
July 1, 2019 - July 31, 2019
PRINCIPAL SECURITIES, INC.
May 3, 2013 - March 16, 2018
J.P. MORGAN SECURITIES LLC
April 22, 2013 - March 16, 2018
J.P. MORGAN SECURITIES LLC
May 2, 2009 - March 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - March 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 20, 2005 - May 2, 2009
WAMU INVESTMENTS, INC.
April 20, 2005 - May 2, 2009
WAMU INVESTMENTS, INC.
November 1, 2002 - April 20, 2005
WELLS FARGO INVESTMENTS, LLC
October 30, 2002 - April 20, 2005
WELLS FARGO INVESTMENTS, LLC
October 12, 2001 - October 22, 2002
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - October 22, 2002
WELLS FARGO INVESTMENTS, LLC
May 9, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
May 18, 1999 - May 12, 2000
MORGAN STANLEY DW INC.
November 12, 1997 - April 30, 1999
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
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 7TO
Date: 5/1/2024
General Securities Representative ExaminationSeries 6TO
Date: 5/1/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
