Christian N. Shank
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.
Christian Neil Shank was a registered financial professional .
Christian is a previously registered financial professional and started their career in finance in 2003. Christian had worked at 3 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2014 - November 18, 2020
SYMPHONY FINANCIAL, LTD. CO.
November 10, 2006 - October 29, 2015
LPL FINANCIAL LLC
November 10, 2006 - December 9, 2020
LPL FINANCIAL LLC
May 13, 2003 - November 13, 2006
A. G. EDWARDS & SONS, INC.
April 17, 2003 - November 13, 2006
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
SYMPHONY FINANCIAL, LTD. CO.
CRD#: 171816 / SEC#: 801-79989
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/21/2024
General Securities Representative ExaminationCurrent Firm
SYMPHONY FINANCIAL, LTD. CO.
CRD#: 171816 / SEC#: 801-79989
Contact information
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,324 |
| AUM (Assets Under Management) | $ 1,093,185,695 |
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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