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JS

Jeremy A. Shor

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CRD#: 4604219
JS

Professional summary

Jeremy Andrew Shor was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeremy is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Jeremy had worked at 1 firm, which includes BROWN BROTHERS HARRIMAN & CO..

top-8-questions

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

September 8, 2005 - November 16, 2007

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
NEW YORK, NY
Past

November 22, 2002 - September 12, 2003

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
NEW YORK, NY

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
IAR
Series 66
Date: 2/19/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/2002
General Securities Representative Examination

Current Firm

BB
BROWN BROTHERS HARRIMAN & CO.
BROWN BROTHERS HARRIMAN & CO.

CRD#: 104487 / SEC#:

BD
Terminated by FINRA on 06/30/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 10/10/1818
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BODMAN, TAYLOR STOCKWELLPARTNER2589796
DONAHUE, DOUGLAS AIDAN JR.PARTNER2074744
KLOTZ, RADFORD WERNERPARTNER2615201
LIVINGSTON, SUSAN CLARKPARTNER2831394
SCHOENFELD, JEFFREY ALANPARTNER2490214
WITMER, RICHARD HOWELL JR.PARTNER1900002
BERK, THOMAS ERICPARTNER4906624
BERRIS, BRIAN ADAMSPARTNER2530603
BORLAND, JOHN JAYPARTNER2171439
COOK, GEOFFREY MACKENZIEPARTNER4599503
CREPIN, JEAN MARCPARTNER6442317
GALINDO, DARIOPARTNER2789910
GEORGE, KATHRYN CAROLYNPARTNER4308333
HAM, RICHARD DAVIDFINANCIAL OPERATIONS PRINCIPAL5515226
HARTCH, TIMOTHY EWINGPARTNER2941759
HASHIMOTO, KYOSUKEPARTNER4308983
HUTSON, JOSHUA EYARECHIEF COMPLIANCE OFFICER2912952
IZARD, CHARLES OWENPARTNER1131624
KELLER, MICHAEL ROBERTPARTNER4053994
LONG, THOMAS MICHAELPARTNER2596442
LYNCH, HAMPTON SIMPSON JR.PARTNER2794116
MCCONNELL, MICHAEL WALLACEPARTNER1551375
MESKIN, JEFFREY BRYANPARTNER2855280
NAGAHISA, YUKINORIPARTNER1921275
NIELSEN, JOHN ANDREWPARTNER2578064
PAIRCEIR, SEANPARTNER5775877
PAQUIN, JEAN-PIERREPARTNER4622088
REMONDI, CHRISTOPHER CHARLESPARTNER4308313
ROBERTSON, ABRAM HEATON IIIPARTNER2593686
ROSENSWEIG, WILLIAM E.PARTNER6019312
STONE, KEVIN WPARTNER2395249
SULLIVAN, WILLIAM CARTER IIIPARTNER2641535
TUCKER, ANDREW JAMES FRANCISPARTNER2588190
TYREE, WILLIAM BROPHYPARTNER2743965
VELEZ, MAROA DEL CARMENPARTNER5469051
WHELAN, WILLIAM JOSEPH JR.PARTNER2588916

Disclosures

Regulatory Event3

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

BROWN BROTHERS HARRIMAN & CO.

CRD#: 104487

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