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Shannon Braymen

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CRD#: 2099783
SB

Professional summary

Shannon Braymen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Shannon is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Shannon had worked at 3 firms, which includes BRAYMEN LAMBERT AND NOEL SECURITIES LTD., PRESIDIO FINANCIAL SERVICES INC., WALCH FINANCIAL SERVICES INC..

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.
The advisor shows no other business activity.

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

January 21, 2005 - January 4, 2016

BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.

RIA
CRD#: 124902
IRVING, TX
Past

March 24, 2003 - February 26, 2016

BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.

BD
CRD#: 124902
IRVING, TX
Past

August 5, 1996 - November 29, 2002

PRESIDIO FINANCIAL SERVICES, INC.

BD
CRD#: 10010
SAN ANTONIO, TX
Past

April 18, 1995 - November 28, 1995

WALCH FINANCIAL SERVICES, INC.

BD
CRD#: 36371
SAN ANTONIO, TX

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
IAR
Series 66
Date: 12/17/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/10/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/26/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/25/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/17/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/15/1999
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/31/1998
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/24/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/12/1997
Registered Options Principal Examination

Current Firm

BL
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
BRAYMEN LAMBERT AND NOEL INVESTMENT MANAGEMENT | BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD. | BRAYMEN, LAMBERT AND NOEL INVESTMENT MANAGEMENT

CRD#: 124902 / SEC#: 801-63079, 8-65737

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 12/09/2002
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BRAYMEN, SHANNONCEO/CFO/CCO/LIMITED PARTNER2099783

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

BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.

CRD#: 124902

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