Shannon P. Reardon
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 Paige Reardon, who also goes by Shannon Paige Reardon, Shannon Reardon Swanick, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1998. Shannon had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2024 - March 26, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 24, 2021 - December 21, 2021
LPL FINANCIAL LLC
March 24, 2021 - December 21, 2021
LPL FINANCIAL LLC
January 9, 2020 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
January 8, 2020 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
September 19, 2016 - August 28, 2019
TRUIST ADVISORY SERVICES, INC.
April 11, 2013 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
February 14, 2013 - August 28, 2019
TRUIST INVESTMENT SERVICES, INC.
November 12, 2007 - February 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 29, 2001 - October 31, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 7, 1998 - May 11, 2000
METROPOLITAN LIFE INSURANCE COMPANY
August 7, 1998 - May 11, 2000
MSI FINANCIAL SERVICES, INC.
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 7TO
Date: 1/11/2024
General Securities Representative ExaminationSeries 6TO
Date: 1/11/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| AULETTA, SUZANNE ELIZABETH | CCO-CHIEF COMPLIANCE OFFICER | 1418817 |
| CAMPAGNOLI, VINCENT JOHN | DIRECTOR | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
