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Shannon B. Withem

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CRD#: 4486600
SW

Professional summary

Shannon Bolt Withem was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Shannon is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Shannon had worked at 3 firms, which includes LASALLE FINANCIAL SERVICES INC., BANC ONE SECURITIES CORPORATION, A. G. EDWARDS & SONS INC..

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)

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

August 25, 2004 - October 8, 2004

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

January 28, 2003 - August 18, 2004

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

February 8, 2002 - November 21, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

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

State Security Law Exam
RR
Series 63
Date: 4/6/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/7/2002
General Securities Representative Examination

Current Firm

LF
LASALLE FINANCIAL SERVICES, INC.
ABN AMRO FINANCIAL SERVICES, INC. | LASALLE FINANCIAL SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | EXCHANGE SECURITIES CORP. | EXCHANGE NATIONAL SECURITIES CORP. | DEMEER MIDDLE MARKET CLO 2006-1, LTD | ABN AMRO INVESTMENT SERVICES, INC.

CRD#: 20373 / SEC#: , 8-38264

BD
Terminated by SEC on 12/26/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/28/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BANK OF AMERICA, NATIONAL ASSOCIATIONSHAREHOLDER
MCCAFFREY, TERRY MICHAELPRESIDENT, CEO, CHAIRMAN4850382
MYRICK, THOMAS GRAHAMDIRECTOR4014675
ROMANO, JOHN GARYFINOP/TREASURER5078610

Disclosures

Regulatory Event2
Arbitration1

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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Company Information

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

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