Shirley A. Conner
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.
Shirley Anne Conner was a registered financial professional .
Shirley is a previously registered financial professional and started their career in finance in 2000. Shirley had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2015 - August 16, 2016
PURSHE KAPLAN STERLING INVESTMENTS
October 26, 2009 - August 8, 2015
BARCLAYS CAPITAL INC.
October 20, 2009 - August 8, 2015
BARCLAYS CAPITAL INC.
September 15, 2008 - December 19, 2008
HOWE BARNES CAPITAL MANAGEMENT, INC.
September 15, 2008 - December 19, 2008
HOWE BARNES HOEFER & ARNETT, INC.
June 14, 2006 - September 15, 2008
J.P. MORGAN SECURITIES LLC
January 18, 2002 - September 15, 2008
J.P. MORGAN SECURITIES LLC
May 7, 2001 - January 31, 2002
PERSHING LLC
November 27, 2000 - October 22, 2001
CREDIT SUISSE SECURITIES (USA) 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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