Stephen B. Shankman

REGIONS SECURITIES LLC

Mclean, VA 22102

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CRD#: 4122802

Professional summary

Stephen Brian Shankman, who also goes by Stephen Brian Shankman, is a registered financial professional currently at REGIONS SECURITIES LLC located in Mclean, Virginia.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen Brian Shankman

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) - BD

Click below to view Stephen Brian Shankman'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 2, 2023 - Present

REGIONS SECURITIES LLC

Office #1: 1650 Tysons Blvd Suite 710, Mclean, VA 22102

CRD#: 159475

Mclean, VA

Past

April 29, 2017 - September 25, 2023

JEGI LLC

CRD#: 134887

NEW YORK, NY

Past

June 26, 2013 - January 27, 2017

MARLIN & ASSOCIATES SECURITIES LLC

CRD#: 152650

NEW YORK, NY

Past

June 24, 2010 - November 12, 2012

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

August 25, 2004 - October 30, 2009

NATIXIS SECURITIES AMERICAS LLC

CRD#: 1101

NEW YORK, NY

Past

July 10, 2003 - August 24, 2004

BREAN CAPITAL, LLC

CRD#: 23723

NEW YORK, NY

Past

December 7, 2000 - July 29, 2002

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

July 17, 2000 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

March 9, 2000 - June 13, 2000

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(11/28/2023)

Virginia
(11/28/2023)

Exams

State Security Law Exam

Series 63

Date: 11/28/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 12/29/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 12/16/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 12/8/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 3/8/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

REGIONS SECURITIES LLC

REGIONS SECURITIES | REGIONS SECURITIES LLC

CRD#: 159475 / SEC#: , 8-68990

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309

Mailing Address

1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309

Phone number

(404) 279-7400

Established

Delaware since 10/12/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RFC FINANCIAL SERVICES HOLDING LLC	PARENT
AMIN, RITVIG NIPENDRA	CHAIRMAN OF THE BOARD & DIRECTOR	2901218
GIARDINO, NEIL	CEO, PRESIDENT AND DIRECTOR	2428962
HOLLOWAY, GLENN CHRISTOPHER	FINOP, CFO, PFO, POO & DIRECTOR	4566759
MAGGIORE, JILL WRIGHT	CHIEF COMPLIANCE OFFICER & DIRECTOR	1001068
MAXWELL, JASON MATTHEW	CHIEF LEGAL OFFICER & DIRECTOR	5997125

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Stephen B. Shankman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Brian Shankman's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEGI LLC

MARLIN & ASSOCIATES SECURITIES LLC

UBS SECURITIES LLC

NATIXIS SECURITIES AMERICAS LLC

BREAN CAPITAL, LLC

SANFORD C. BERNSTEIN & CO., LLC

SANFORD C. BERNSTEIN & CO., INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/28/2023

Series 79TO

Date: 12/29/2023

SIE

Date: 10/1/2018

Series 86

Date: 12/16/2004

Series 87

Date: 12/8/2004

Series 7

Date: 3/8/2000

FINRA

Current Firm

REGIONS SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REGIONS SECURITIES LLC

TRUST BUT VERIFY

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