Shon C. Prejean
Professional summary
Shon Charles Prejean was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shon is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Shon had worked at 4 firms, which includes BBVA COMPASS INVESTMENT SOLUTIONS INC, CHASE INVESTMENT SERVICES CORP., EDWARD JONES, INVESCO CAPITAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2003 - January 9, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 14, 2003 - August 7, 2003
CHASE INVESTMENT SERVICES CORP.
September 29, 2000 - November 9, 2001
EDWARD JONES
July 17, 1997 - September 26, 2000
INVESCO CAPITAL MARKETS, 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
BBVA COMPASS INVESTMENT SOLUTIONS, INC
CRD#: 17086 / SEC#: , 8-34988
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMPASS BANK | OWNER OF COMPASS BROKERAGE, INC. | |
| BARRAZA, JUAN CARLOS | SENIOR VICE PRESIDENT | 2979487 |
| CARTEE, JOSEPH BYRON | ASSISTANT SECRETARY | |
| CHACONTISCARENO, HECTOR | DIRECTOR/CHAIRMAN OF THE BOARD/MANAGING DIR, INTERNATIONAL DIV | 2946609 |
| DELGADO, BERNARDO ALBERTO | VICE PRESIDENT | 2462176 |
| FIROZGARY, FARROKH MEHRBAN | SENIOR VICE PRESIDENT | 3263239 |
| GUERRERA, DARREN CYRIL | CFO/FINOP/VICE PRESIDENT | 2541120 |
| HAGEMANN, BRUCE ANDREW | DIRECTOR/PRESIDENT/CEO | 1922613 |
| HELMS, WILLIAM CHARLES | DIRECTOR | 4625212 |
| HERRICK, BRIAN R. | ASSISTANT SECRETARY | |
| HULVEY, DOROTHY J | COO | 5880903 |
| IBARRA, JORGE EDUARDO | SENIOR VICE PRESIDENT | 3079569 |
| KIRKNER, LORI VEREEN | VICE PRESIDENT | 1903977 |
| KNIGHT, WENDY SUSANNE | VICE PRESIDENT | 2539405 |
| LLANO, FRANCISCO MANUEL | SENIOR VICE PRESIDENT | 2751609 |
| MCMURRAY, LORIN JAMES | SENIOR VICE PRESIDENT/NATIONAL SALES MANAGER | 1719473 |
| MCROBERTS, KAREN LARSON | SENIOR VICE PRESIDENT | 2040152 |
| NEEL, DAVID SULLIVAN JR | SR. VICE PRESIDENT, CCO, SECRETARY, DIRECTOR | 1884109 |
| PRESSLEY, KIRK PAUL | TREASURER | 4714214 |
| RAMOS, MARIO A | ASSISTANT SECRETARY | |
| RODRIGUEZ, JOSE RAMON | SENIOR VICE PRESIDENT | 4392639 |
| SANCHEZ, JOAQUIN | SENIOR VICE PRESIDENT | 2708344 |
| SAWYER, JOHN EMERY IV | DIRECTOR | 2398228 |
| VIGUIER-GALLEY, ANNE-JOELLE NICOLE | SENIOR VICE PRESIDENT | 2764945 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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