Hugh E. Reams
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.
Hugh Etherton Reams JR, who also goes by Hugh E Reams, was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1996. Hugh had worked at 3 firms and has passed the Series 63, SIE 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
December 11, 2009 - June 14, 2016
SHANNON ADVISORS LLC
November 3, 2000 - April 16, 2009
CREDIT SUISSE SECURITIES (USA) LLC
March 21, 1996 - September 27, 2002
PERSHING LLC
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
SHANNON ADVISORS LLC
CRD#: 150305 / SEC#: , 8-68243
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANNON ADVISORS LP | MEMBER | |
| OGARA, BRIAN TIMOTHY | CHIEF EXECUTIVE OFFICER, EXECUTIVE REP., CHIEF COMPLIANCE OFFICER, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 2640600 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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