Shannon R. Shackelford
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 Ray Shackelford, who also goes by Ray Shackelford, Shannon Ray Shackelford, Shannon Shackelford, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2000. Shannon had worked at 5 firms and has passed the Series 63, SIE 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 15, 2014 - July 22, 2015
CAPFINANCIAL SECURITIES, LLC.
August 1, 2007 - February 26, 2013
EMPOWER FINANCIAL SERVICES, INC.
June 5, 2006 - July 24, 2006
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 5, 2006 - July 25, 2006
MUTUAL OF AMERICA SECURITIES LLC
April 3, 2000 - May 10, 2005
JOHN HANCOCK DISTRIBUTORS LLC
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
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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