Kathryn M. Shanks
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.
Kathryn Marie Shanks, who also goes by Kathryn M Shanks, Kathryn Marie Steele, Kathryn Marie Wyner, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2000. Kathryn had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2009 - October 13, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
June 16, 2004 - October 3, 2016
ALLSTATE FINANCIAL SERVICES, LLC
February 19, 2002 - June 18, 2004
SMITH HAYES FINANCIAL SERVICES CORPORATION
June 13, 2001 - December 31, 2001
STIFEL INDEPENDENT ADVISORS, LLC
December 13, 2000 - May 4, 2001
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
