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Shannon D. Stauth

Some features on this profile are disabled
CRD#: 4015798
SS

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 Dean Stauth, who also goes by Shannon Dean Stauth, Shannon Stauth, was a registered financial professional .

Shannon is a previously registered financial professional and started their career in finance in 2001. Shannon had worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shannon Dean Stauth | Shannon Stauth

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) 2016 - Business Entity For Tax/Investment Purposes Only - JOKERS WILD LLC - 0% - INVESTMENT RELATED - HAYS, KS 67601 2) 08/2018 - NON-VARIBALE INSURANCE - SHANNON STAUTH - 15HRS/MO DURING TRADING - INVESTMENT RELATED - HAYS, KS 3) 6/22/2021 - Jass LLC - Investment Related - Dorrance, KS - Real Estate Rental - Start Date: 6/4/2021 - 4 Hours Per Month/0 Hours During Securities Trading - Property will be used for storage of boats and RV's. 4) 11/12/2024- Shannon Stauth Agency- Property and Casualty- Investment Related - At Reported Business Location(s) - Start DAte 09/18/2024 - 1020 Hours Per Month/ 2 Hours During Trading

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 31, 2025 - October 20, 2025

RIEDL FIRST SECURITIES COMPANY OF KANSAS

BD
CRD#: 30812
WICHITA, KS
Past

April 29, 2019 - January 14, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
WICHITA, KS
Past

April 29, 2019 - January 14, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
WICHITA, KS
Past

November 2, 2018 - May 2, 2019

OSAIC WEALTH, INC.

RIA
CRD#: 23131
GREAT BEND, KS
Past

November 2, 2018 - May 2, 2019

OSAIC WEALTH, INC.

BD
CRD#: 23131
GREAT BEND, KS
Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
GREAT BEND, KS
Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
GREAT BEND, KS
Past

March 5, 2010 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
HAYS, KS
Past

September 4, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
HAYS, KS
Past

November 15, 2006 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
HAYS, KS
Past

February 12, 2004 - January 19, 2006

RIEDL FIRST SECURITIES COMPANY OF KANSAS

BD
CRD#: 30812
WICHITA, KS
Past

September 12, 2002 - April 30, 2003

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

July 24, 2001 - January 14, 2002

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

March 6, 2001 - July 16, 2001

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/5/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/30/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/5/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/18/2009
General Securities Principal Examination

Current Firm

RF
RIEDL FIRST SECURITIES COMPANY OF KANSAS
RIEDL & COMPANY | RIEDL FIRST SECURITIES COMPANY OF KANSAS

CRD#: 30812 / SEC#: , 8-45164

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1841 N. Rock Road Court, Suite 400, Wichita, KS 67206-4213
Mailing Address
1841 N. Rock Road Court, Suite 400, Wichita, KS 67206-4213
Phone number
(316) 265-9341
Established
Kansas since 06/10/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NAFTZGER, CAESAR AUGUSTUSPRESIDENT / CEO / OWNER / SECRETARY / FINANCIAL PRINCIPAL / PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER4457297
CONLEY, ANGELA DAWNVICE PRESIDENT / BRANCH MGR / CCO5708032

Disclosures

Regulatory Event4

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.

Company Information

RIEDL FIRST SECURITIES COMPANY OF KANSAS

CRD#: 30812

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