Shannon D. Anderson
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 Douglas Anderson was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1998. Shannon had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
September 25, 2007 - September 28, 2012
THE O.N. EQUITY SALES COMPANY
January 11, 2005 - October 1, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
June 6, 2002 - January 3, 2005
AFS BROKERAGE, INC.
February 22, 2001 - June 7, 2002
CONSECO SECURITIES, INC.
December 16, 1998 - December 22, 2000
CONSECO SECURITIES, 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
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
