Shenandoah Compton
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.
Shenandoah Compton, who also goes by Shenan Compton, was a registered financial professional .
Shenandoah is a previously registered financial professional and started their career in finance in 2002. Shenandoah had worked at 4 firms and has passed the Series 63, SIE 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
May 4, 2020 - July 23, 2025
CABOT LODGE SECURITIES LLC
June 6, 2006 - April 15, 2020
RAYMOND JAMES & ASSOCIATES, INC.
September 19, 2005 - June 15, 2006
UBS FINANCIAL SERVICES INC.
June 24, 2002 - September 8, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
