Shannon L. Norris
Professional summary
Shannon Lee Norris was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shannon is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Shannon had worked at 8 firms, which includes GUNNALLEN FINANCIAL INC, LH ROSS & COMPANY INC., FLORIDA DISCOUNT SECURITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, EMERSON BENNETT & ASSOCIATES, LCP CAPITAL CORP., SHAMROCK PARTNERS LTD, GRUNTAL & CO. L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2003 - September 13, 2005
GUNNALLEN FINANCIAL, INC
January 27, 2003 - January 2, 2004
LH ROSS & COMPANY, INC.
April 22, 2002 - October 1, 2002
FLORIDA DISCOUNT SECURITIES, INC.
August 24, 2000 - September 26, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 22, 1999 - September 21, 2000
EMERSON BENNETT & ASSOCIATES
February 8, 1999 - March 19, 1999
LCP CAPITAL CORP.
August 6, 1998 - January 20, 1999
SHAMROCK PARTNERS, LTD
April 8, 1998 - August 14, 1998
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
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Exams
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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