Shannon R. Mcgarrity
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 Robert Mcgarrity, who also goes by Shannon Robert Franklin Mcgarrity, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2004. Shannon had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 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
April 29, 2020 - March 28, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 27, 2020 - March 23, 2022
FIDELITY BROKERAGE SERVICES LLC
January 2, 2020 - March 25, 2020
EDWARD JONES
December 23, 2019 - March 25, 2020
EDWARD JONES
March 8, 2018 - April 2, 2018
TD AMERITRADE, INC.
March 8, 2018 - April 2, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - April 2, 2018
TD AMERITRADE, INC.
May 10, 2016 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
September 20, 2004 - February 26, 2018
SCOTTRADE, INC.
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
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
