Shannon C. Parcells
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 Cathleen Parcells was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1997. Shannon had worked at 4 firms and has passed the Series 63, Series 55 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
May 1, 2001 - May 29, 2001
FULCRUM GLOBAL PARTNERS LLC
February 15, 2000 - April 3, 2001
KNIGHT CAPITAL AMERICAS, L.P.
December 16, 1998 - February 14, 2000
HERZOG, HEINE, GEDULD, LLC
April 14, 1997 - November 18, 1998
PRUDENTIAL EQUITY GROUP, 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
Series 55
Date: 4/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
FULCRUM GLOBAL PARTNERS LLC
CRD#: 104455 / SEC#: , 8-52921
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PETRYCKI, MICHAEL CARL | CEO/MANAGING MEMBER | 1022066 |
| CAROL A. FERENTZ AS TRUSTEE FOR MICHAEL M. PETRYCKI TRUST | SHAREHOLDER | |
| NEEDLEMAN, HARRY | COO/CHIEF LEGAL OFFICER/ MANAGING MEMBER | 1661267 |
| ROSEMONT PARTNERS I, L.P. | MEMBER | |
| CAROL A. FERENTZ AS TRUSTEE FOR TIMOTHY C. PETRYCKI TRUST | SHAREHOLDER | |
| FERENTZ, CAROL A. | TRUSTEE FOR TIMOTHY C. PETRYCKI | |
| FERENTZ, CAROL A. | TRUSTEE FOR MICHAEL M. PETRYCKI | |
| GOLDMAN, ALAN FRANKLIN | CHIEF FINANCIAL OPERATIONS OFFICER | 1148720 |
Disclosures
| Regulatory Event | 3 |
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.
