Timothy B. Shannon
Professional summary
Timothy Brian Shannon is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2001. Timothy has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy Brian Shannon's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2013 - Present
CAIS CAPITAL LLC
Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022Office #2: 527 Madison Avenue 2nd Floor, New York, NY 10022December 23, 2011 - February 28, 2012
ALLIANCEBERNSTEIN L.P.
February 4, 2011 - February 28, 2012
SANFORD C. BERNSTEIN & CO., LLC
May 29, 2007 - June 29, 2007
CITIGROUP GLOBAL MARKETS INC.
September 15, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 15, 2002 - November 26, 2003
MORGAN STANLEY DISTRIBUTION, INC.
November 15, 2001 - August 30, 2005
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/13/2013)
(1/8/2018)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CAIS CAPITAL LLC
CRD#: 154512 / SEC#: , 8-68646
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL INTEGRATION SYSTEMS LLC | PARENT/OWNER | |
| BROWN, MATTHEW CRAWFORD | CEO/MEMBER/EXECUTIVE REP. | 2160159 |
| COLLINS, MICHAEL PATRICK | CCO | 5366193 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| PARISE, JANICE DRU | FINOP/PFO | 2338583 |
| PREMSELAAR, MARC KLEIN | SENIOR MANAGING DIRECTOR | 5395973 |
| SHANNON, TIMOTHY BRIAN | PRESIDENT | 4461906 |
| WALKER, BRADLEY JAY | SENIOR MANAGING DIRECTOR | 5000838 |
Red Flags
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