Jerome F. Shanahan
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.
Jerome Francis Shanahan, who also goes by Jerry Shanahan, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1992. Jerome had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2012 - April 29, 2015
BAY FINANCIAL ADVISORS, INC.
January 4, 2006 - July 23, 2015
LPL FINANCIAL LLC
January 3, 2006 - July 23, 2015
LPL FINANCIAL LLC
October 31, 2005 - December 31, 2005
OSAIC SERVICES, INC.
March 8, 2005 - August 15, 2008
SUMMER STREET FINANCIAL ADVISORS, LLC
January 20, 2005 - March 8, 2005
U.S. FINANCIAL ADVISORS
June 10, 2003 - October 31, 2005
SUNAMERICA SECURITIES, INC.
January 31, 2002 - June 23, 2003
CITIZENS SECURITIES, INC.
September 10, 1997 - January 28, 2002
NEW ENGLAND SECURITIES
July 23, 1992 - September 9, 1997
EQUITY SERVICES, 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
Current Firm
BAY FINANCIAL ADVISORS, INC.
CRD#: 130576 / SEC#:
Contact information
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.
