Richard C. Shannon
Professional summary
Richard Cutts Shannon IV is a registered financial professional currently at CRAIG-HALLUM CAPITAL GROUP LLC located in Minneapolis, Minnesota.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Cutts Shannon IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 31, 2011 - Present
CRAIG-HALLUM CAPITAL GROUP LLC
Office #1: 323 N Washington Ave Suite 300, Minneapolis, MN 55401April 17, 2006 - August 24, 2011
NORTHLAND SECURITIES, INC.
March 11, 2004 - June 9, 2005
PIPER SANDLER & CO.
November 9, 2001 - March 11, 2004
UBS SECURITIES LLC
August 30, 2000 - July 17, 2001
EPOCH SECURITIES, INC.
January 22, 1999 - August 11, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/31/2011)
Exams
FINRA
Nasdaq Stock Market
Current Firm
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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