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SG

Shannon M. Gaines

JPMORGAN DISTRIBUTION SERVICES
Palm Springs, CA 92262
Some features on this profile are disabled
CRD#: 4383830
SG

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

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shannon Michael Gaines's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 1, 2025 - Present

JPMORGAN DISTRIBUTION SERVICES, INC.

Office #1: 500 Paragon Loop, Palm Springs, CA 92262
BD
CRD#: 104234
Palm Springs, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 5/1/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/31/2025
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/14/2026
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

JD
JPMORGAN DISTRIBUTION SERVICES, INC.
JPMORGAN DISTRIBUTION SERVICES, INC. | ONE GROUP DEALER SERVICES, INC.

CRD#: 104234 / SEC#: , 8-52700

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1111 Polaris Parkway, Columbus, OH 43240
Mailing Address
1111 Polaris Parkway Mail Code: Oh1-0004, Columbus, OH 43240
Phone number
(201) 595-1958
Established
Delaware since 10/25/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JPMORGAN ASSET MANAGEMENT HOLDINGS INC.STOCKHOLDER
BARTA, WENDY KAYPRESIDENT AND DIRECTOR2855534
KLOZA, KEVINCHIEF COMPLIANCE OFFICER2188958
LEKSTUTIS, CARMINECHIEF LEGAL OFFICER6990745
LISHER, ANDREADIRECTOR4493750
MACHULSKI, MICHAEL RICHARDPRINCIPAL FINANCIAL AND OPERATIONS OFFICER AND DIRECTOR4726972
SANZONE, JOSEPH FRANKDIRECTOR6581797

Disclosures

Regulatory Event1

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.

Company Information

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234Palm Springs, CA 92262

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