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Shawna D. Norris
JANNEY MONTGOMERY SCOTT LLC
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 3165588
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Professional summary
Shawna D Norris, who also goes by Shawna D Norris, Shawna Diane Norris, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Charlotte, North Carolina.
Shawna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Shawna has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawna D Norris | Shawna Diane Norris
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1)Name of Business: Williamson Wealth Group Address: 7632 Norman Island Dr, Cornelius, NC, 28031, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: Yes Start Date: 07/21/2014 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: assist 6 financial advisors
CRS (Client Relationship Summary) - RIA
Click below to view Shawna D Norris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shawna D Norris's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 14, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Current
May 14, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Past
October 2, 2024 - February 10, 2025
CHOREO, LLC
RIA
CRD#: 111221
Charlotte, NC
Past
November 16, 2023 - January 23, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Charlotte, NC
Past
November 16, 2023 - January 23, 2024
MORGAN STANLEY
BD
CRD#: 149777
Charlotte, NC
Past
September 17, 2013 - September 15, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Cornelius, NC
Past
September 9, 2013 - September 15, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Cornelius, NC
Past
June 1, 2009 - July 17, 2013
MORGAN STANLEY
RIA
CRD#: 149777
SALT LAKE CITY, UT
Past
June 1, 2009 - July 17, 2013
MORGAN STANLEY
BD
CRD#: 149777
SALT LAKE CITY, UT
Past
November 27, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SALT LAKE CITY, UT
Past
November 26, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SALT LAKE CITY, UT
Past
October 31, 2006 - October 12, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CORNELIUS, NC
Past
October 20, 2006 - October 12, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CORNELIUS, NC
Past
February 15, 2002 - August 28, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CHARLOTTE, NC
Past
October 18, 2001 - August 28, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
CHARLOTTE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/14/2025)
RR
Alaska(5/14/2025)
RR
Arizona(5/14/2025)
RR
Arkansas(5/14/2025)
RR
California(5/14/2025)
RR
Colorado(5/14/2025)
RR
Connecticut(5/14/2025)
RR
District of Columbia(5/14/2025)
RR
Florida(5/14/2025)
RR
Georgia(5/14/2025)
RR
Hawaii(5/14/2025)
RR
Idaho(5/14/2025)
RR
Illinois(5/14/2025)
RR
Indiana(5/14/2025)
RR
Iowa(5/14/2025)
RR
Kansas(5/14/2025)
RR
Kentucky(5/14/2025)
RR
Louisiana(5/14/2025)
RR
Maryland(5/14/2025)
RR
Massachusetts(5/14/2025)
RR
Michigan(5/14/2025)
RR
Minnesota(5/14/2025)
RR
Mississippi(5/14/2025)
RR
Missouri(5/14/2025)
RR
Montana(5/14/2025)
RR
Nebraska(5/14/2025)
RR
New Hampshire(5/14/2025)
RR
New Jersey(5/14/2025)
RR
New York(5/14/2025)
RR
North Carolina(5/14/2025)
IAR
North Carolina(5/14/2025)
RR
Ohio(5/14/2025)
RR
Oklahoma(5/14/2025)
RR
Pennsylvania(5/14/2025)
RR
Rhode Island(5/14/2025)
RR
South Carolina(5/14/2025)
RR
South Dakota(5/14/2025)
RR
Tennessee(5/14/2025)
RR
Texas(5/14/2025)
IAR
Texas(5/14/2025)
RR
Utah(5/14/2025)
RR
Vermont(5/14/2025)
RR
Virgin Islands(5/14/2025)
RR
Virginia(5/14/2025)
RR
Washington(5/14/2025)
RR
West Virginia(5/14/2025)
RR
Wisconsin(5/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
