Shannon S. Cross
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 Siemsen Cross, who also goes by Shannon S Cross, Shannon Siemsen Cross, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1998. Shannon had worked at 7 firms and has passed the Series 63, Series 65, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2022 - March 8, 2024
CREDIT SUISSE SECURITIES (USA) LLC
January 15, 2019 - April 1, 2022
CROSS RESEARCH LLC
December 11, 2007 - December 31, 2017
CROSS RESEARCH
August 14, 2007 - December 31, 2018
CROSS RESEARCH LLC
May 19, 2003 - August 15, 2007
SOLEIL SECURITIES CORPORATION
January 31, 2000 - May 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 1999 - January 10, 2000
COWEN AND COMPANY
August 23, 1999 - September 28, 1999
ABN AMRO INCORPORATED
July 8, 1998 - June 9, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Exams
Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
