Shannon L. Smith
Professional summary
Shannon London Smith, who also goes by Shannon London Smith Sr, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Lincoln, Nebraska and ALLSTATE FINANCIAL SERVICES, LLC located in Lincoln, Nebraska.
Shannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Shannon has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 51, Series 9, Series 10, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Shannon London Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2014 - Present
ALLSTATE FINANCIAL ADVISORS, LLC
Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380May 28, 2014 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380March 27, 2013 - March 26, 2014
INVESTMENT CENTERS OF AMERICA, INC.
March 27, 2013 - March 26, 2014
INVESTMENT CENTERS OF AMERICA, INC.
February 8, 2013 - February 22, 2013
SECURITIES AMERICA ADVISORS, INC.
February 7, 2013 - February 22, 2013
SECURITIES AMERICA, INC.
May 11, 2011 - February 13, 2013
QUESTAR ASSET MANAGEMENT, INC.
May 11, 2011 - February 13, 2013
QUESTAR CAPITAL CORPORATION
January 17, 2007 - May 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 5, 2007 - May 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 26, 2000 - February 1, 2007
ATLAS SECURITIES, LLC
April 20, 2000 - June 14, 2000
VOYA INVESTMENTS DISTRIBUTOR, LLC
April 13, 1999 - March 23, 2000
CADARET, GRANT & CO., INC.
March 26, 1999 - April 7, 1999
BANC ONE SECURITIES CORPORATION
January 1, 1999 - February 26, 1999
CADARET, GRANT & CO., INC.
June 7, 1994 - December 11, 1998
SIMMERS CAPITAL MANAGEMENT CORPORATION
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/3/2014)
(5/23/2015)
(7/27/2015)
(7/2/2024)
(12/8/2017)
(9/11/2024)
(2/29/2016)
(5/4/2018)
(4/29/2016)
Exams
FINRA
Current Firm
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
