Stephen R. Shannon

PANTELES ADVISORS

ARGYLE, TX 76226

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CRD#: 3274987

Professional summary

Stephen Robert Shannon is a registered financial advisor currently at PANTELES ADVISORS located in Argyle, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Stephen has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Robert Shannon'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®

None

Experience

Current

October 10, 2023 - Present

PANTELES ADVISORS

Office #1: 415 Us 377, Suite 110, Argyle, TX 76226

RIA

CRD#: 322676

ARGYLE, TX

Past

October 22, 2008 - March 23, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DALLAS, TX

Past

October 8, 2008 - March 23, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DALLAS, TX

Past

March 28, 2007 - December 11, 2007

TRADERIGHT SECURITIES, INC.

CRD#: 45598

DALLAS, TX

Past

August 15, 2000 - February 14, 2006

CAPIS

CRD#: 7551

DALLAS, TX

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.

Highlighted states indicate IAR registrations

IAR

Texas
(10/10/2023)

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

State Security Law Exam

IAR

Series 65

Date: 6/9/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/14/2000

General Securities Representative Examination

Current Firm

PANTELES ADVISORS

PANTELES | PANTELES ADVISORS, LLC | PANTELES ADVISORS

CRD#: 322676 / SEC#:

Texas

Registered Investment Advisory firm - (12/9/2022 Approved)

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Contact information

Main Address

415 Us 377, Suite 110, Argyle, TX 76226

Mailing Address

Phone number

(940) 239-8042

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	76
AUM (Assets Under Management)	$ 67,799,700

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Stephen R. Shannon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Robert Shannon's CRS (Customer Relationship Summary).

Certified licenses

Experience

PANTELES ADVISORS

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

TRADERIGHT SECURITIES, INC.

CAPIS

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2022

Series 63

Date: 9/13/2000

Series 7

Date: 8/14/2000

Current Firm

PANTELES ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PANTELES ADVISORS

TRUST BUT VERIFY

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