Shannon L. Servaes
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 Lee Servaes was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2009. Shannon had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2009 - July 28, 2015
NISA INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
NISA INVESTMENT ADVISORS, LLC
CRD#: 107313 / SEC#: 801-45153
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
NISA INVESTMENT ADVISORS, LLC
CRD#: 107313 / SEC#: 801-45153
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 315,286,272,054 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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