Shannon M. Gaines
Professional summary
Shannon Michael Gaines is a registered financial professional currently at JPMORGAN DISTRIBUTION SERVICES, INC. located in Palm Springs, California.
Shannon is registered as a RR (Registered Representative) and started their career in finance in 2025. Shannon has worked at 1 firm and has passed the Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shannon Michael Gaines's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 1, 2025 - Present
JPMORGAN DISTRIBUTION SERVICES, INC.
Office #1: 500 Paragon Loop, Palm Springs, CA 92262State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 5/1/2025
General Securities Representative ExaminationFINRA
Current Firm
JPMORGAN DISTRIBUTION SERVICES, INC.
CRD#: 104234 / SEC#: , 8-52700
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| BARTA, WENDY KAY | PRESIDENT AND DIRECTOR | 2855534 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER AND DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
Disclosures
| Regulatory Event | 1 |
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