Shannon R. Ball
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 Renee Ball was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1999. Shannon had worked at 4 firms and has passed the Series 63 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
January 5, 2007 - November 20, 2013
THE ENTERPRISE SECURITIES COMPANY
March 27, 2002 - November 22, 2006
PRINCIPAL SECURITIES, INC.
February 1, 2000 - August 21, 2000
KESTRA INVESTMENT SERVICES, LLC
May 27, 1999 - January 13, 2000
WADDELL & REED
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 ENTERPRISE SECURITIES COMPANY
CRD#: 26598 / SEC#: , 8-42662
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 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.
