Shannon W. Beal

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CRD#: 4476485

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 W Beal, who also goes by Shannon Dawn Clower, Shannon Dawn Nicodemus, Shannon Dawn Thompson, Shannon Whitmore Thompson, Shannon Dawn Whitmore, was a registered financial professional .

Shannon is a previously registered financial professional and started their career in finance in 2016. Shannon had worked at 1 firm and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shannon Dawn Clower | Shannon Dawn Nicodemus | Shannon Dawn Thompson | Shannon Whitmore Thompson | Shannon Dawn Whitmore

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.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 28, 2016 - December 31, 2017

WOODMEN FINANCIAL SERVICES, INC.

CRD#: 117365

OMAHA, NE

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

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/28/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WOODMEN FINANCIAL SERVICES, INC.

CRD#: 117365 / SEC#: , 8-53592

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

1700 Farnam Street, Omaha, NE 68102

Mailing Address

1700 Farnam St., Omaha, NE 68102

Phone number

(877) 664-3332

Established

Nebraska since 07/11/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (38 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WFS HOLDINGS, INC.	100% OWNER OF WOODMEN FINANCIAL SERVICES, INC.
BENGTSON, CYNTHIA SHAWN	DIRECTOR AND CHAIRMAN	6073749
BUDERUS, TIMOTHY KEVIN	PRESIDENT, CEO AND DIRECTOR	3083401
DARLING, DANIEL RUSSELL	SENIOR SALES MANAGER	5220507
DAY, JACOB MICHAEL	DIRECTOR	5003086
DRIFFILL, CHARLES REICH JR.	DIRECTOR	5239194
EBLEN, LINDSEY JEAN	FINOP AND REVIEW PRINCIPAL (CFO)/TREASURER	4496236
OLARI, NICHOLAS CONNER	DIRECTOR AND SECRETARY	6079027
PORTER, RAHJA	CHIEF COMPLIANCE OFFICER	6860469
ROSAUER, ADAM THOMAS	MANAGER OF OPERATIONS	4761408

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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