Shannon D. Workman

HIGHTOWER SECURITIES

St. Louis, MO 63144

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CRD#: 2862796

Professional summary

Shannon Darrow Workman, who also goes by Shannon Lori Darrow, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in St. Louis, Missouri.

Shannon is registered as a RR (Registered Representative) and started their career in finance in 2001. Shannon has worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shannon Lori Darrow

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shannon Darrow Workman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 24, 2017 - Present

HIGHTOWER SECURITIES, LLC

Office #1: 8308 Eager Road Suite 8308, St. Louis, MO 63144

CRD#: 116681

St. Louis, MO

Past

February 5, 2008 - April 7, 2017

LPL FINANCIAL LLC

CRD#: 6413

ST. LOUIS, MO

Past

January 24, 2006 - April 4, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

CLAYTON, MO

Past

January 24, 2006 - February 5, 2008

OSAIC FA, INC.

CRD#: 3978

CLAYTON, MO

Past

October 2, 2001 - August 23, 2005

BRIDGE TRADING COMPANY

CRD#: 6822

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Missouri
(3/24/2017)

Exams

State Security Law Exam

Series 63

Date: 11/6/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/1/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/1/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/11/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HIGHTOWER SECURITIES, LLC

CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC

CRD#: 116681 / SEC#: , 8-53560

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

200 West Madison Street Suite 2500, Chicago, IL 60606-3414

Mailing Address

200 West Madison Street Suite 2500, Chicago, IL 60606-3414

Phone number

(312) 962-3800

Established

Illinois since 06/28/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HIGHTOWER HOLDING, LLC	PARENT COMPANY
BESSO, DOUGLAS JOSEPH	CTO	1530829
COVIELLO, BARRY ANTHONY	EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION	1813688
GRAY, KENDRA	MUNICIPAL PRINCIPAL	4388082
GRAY, KENDRA	CHIEF COMPLIANCE OFFICER	4388082
KARL, MATTHEW JAMES	PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP	5361093
SMITH, SCOTT DAVID	CHIEF EXECUTIVE OFFICER	2523535

Disclosures

Regulatory Event	5
Arbitration	1

Red Flags

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Advisor Monitoring

Firm Stability Insights

Shannon D. Workman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shannon Darrow Workman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

BRIDGE TRADING COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 11/6/2001

SIE

Date: 10/1/2018

Series 55

Date: 10/1/2002

Series 7

Date: 10/1/2001

Series 24

Date: 5/11/2006

FINRA

Current Firm

HIGHTOWER SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HIGHTOWER SECURITIES, LLC

TRUST BUT VERIFY

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