Shannon Daniel Hogendorn
Professional Summary
Shannon Daniel Hogendorn is a registered financial advisor currently at MISSIONSQUARE WEALTH MANAGEMENT located in Des Moines, Iowa. Shannon is registered as a RR (Registered Representative) and started their career in finance in 1999. Shannon has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
ICMA - RC SERVICES, INC. | MISSIONSQUARE WEALTH MANAGEMENT | MISSIONSQUARE INVESTMENT SERVICES | ICMA-RC SERVICES, LLC
Contact Information
Main Address
777 North Capitol Street, Ne Suite 600, Washington, DC 20002Mailing Address
777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240Phone Number
(202) 962-4600Established
Delaware since 12/31/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
208SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | — |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRESIDENT & PRINCIPAL MANAGER | 3221945 |
| HOLMES, GARY | CHIEF COMPLIANCE OFFICER | 3171812 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
Regulatory Event
3Arbitration
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
ICMA - RC SERVICES, INC. | MISSIONSQUARE WEALTH MANAGEMENT | MISSIONSQUARE INVESTMENT SERVICES | ICMA-RC SERVICES, LLC
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1999About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Shannon Daniel Hogendorn's CRS (Customer Relationship Summary).
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