Shannon P. Costello
Professional summary
Shannon Patrick Costello is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
Shannon is registered as a RR (Registered Representative) and started their career in finance in 1993. Shannon has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shannon Patrick Costello's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2018 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025December 12, 2007 - June 26, 2019
B. RILEY WEALTH MANAGEMENT
August 22, 2007 - December 13, 2007
FINANCE 500, INC.
July 11, 2007 - August 16, 2007
WEDBUSH SECURITIES INC.
June 14, 2006 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
July 12, 2005 - June 12, 2006
BGC FINANCIAL, L.P.
June 6, 2005 - May 3, 2006
CASTLEOAK SECURITIES, LP
April 16, 2003 - October 22, 2004
BROOKSTREET SECURITIES CORPORATION
April 15, 2003 - April 16, 2003
FIRST SECURITIES USA, INC.
September 3, 2002 - March 14, 2003
PUGLISI & CO.
October 5, 2001 - August 28, 2002
GILFORD SECURITIES INCORPORATED
June 21, 1999 - March 28, 2000
UBS SECURITIES LLC
March 3, 1993 - July 8, 1993
MIDAS SECURITIES GROUP, INC.
March 3, 1993 - July 8, 1993
BULL & BEAR 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
(12/14/2018)
Exams
FINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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