Patrick K. 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.
Patrick Kenneth Shannon was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1992. Patrick had worked at 7 firms and has passed the Series 63, Series 44 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2005 - August 25, 2005
HENRY CAPITAL MANAGEMENT, LLC
March 29, 2005 - May 17, 2012
VTRADER PRO, LLC
May 7, 1996 - May 13, 1997
BA INVESTMENT SERVICES, INC.
August 9, 1995 - March 6, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
January 19, 1995 - August 8, 1995
TRANSGLOBAL INVESTMENTS INC.
October 25, 1993 - January 25, 1995
WELLS FARGO SECURITIES INC.
August 28, 1992 - October 25, 1993
MARKETING ONE SECURITIES, INC.
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 44
Date: 4/22/2005
PCX Market Maker ExamCurrent Firm
HENRY CAPITAL MANAGEMENT, LLC
CRD#: 110219 / SEC#: , 8-53125
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.
