Shannon M. Duncan
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.
Shannon Marie Duncan, who also goes by Shannon M Duncan, Shannon Marie Loos, Shannon M Loos, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1996. Shannon had worked at 5 firms and has passed the Series 65, Series 63, 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
May 19, 2022 - January 27, 2023
LIVELY WEALTH, LLC
October 29, 2015 - February 25, 2022
BLOOOM, INC.
January 24, 2011 - April 22, 2013
SMART401K, LLC
December 12, 2003 - June 1, 2009
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 25, 1996 - December 12, 2003
AMERICAN CENTURY INVESTMENT 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
LIVELY WEALTH, LLC
CRD#: 320963 / SEC#: 801-125702
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.
