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TS

Thomas Shannon

CAPITAL ONE SECURITIES
Charlotte, NC 28203
Some features on this profile are disabled
CRD#: 4727384
TS
Thomas ShannonCAPITAL ONE SECURITIES

Professional summary

Thomas Shannon, who also goes by Thomas John Shannon III, Thomas John Shannon, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in Charlotte, North Carolina.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 5 firms and has passed the SIE, Series 7 and Series 99 exams.

Aliases

Thomas John Shannon Iii | Thomas John Shannon

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) - BD

Click below to view Thomas Shannon's CRS (Customer Relationship Summary).

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

Current

December 23, 2024 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 2151 Hawkins St Suite 1300, Charlotte, NC 28203
BD
CRD#: 44158
Charlotte, NC
Past

December 23, 2024 - September 9, 2026

TRIPLETREE, LLC

BD
CRD#: 42820
BLOOMINGTON, MN
Past

December 23, 2024 - September 9, 2026

KIPPSDESANTO & COMPANY

BD
CRD#: 45763
MCLEAN, VA
Past

March 14, 2016 - December 23, 2024

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

June 14, 2013 - March 11, 2016

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 6/13/2013
Operations Professional Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CO
CAPITAL ONE SECURITIES, INC.
CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Mailing Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Phone number
(504) 533-7377
Established
Louisiana since 04/01/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE FINANCIAL CORPORATION100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGHDIRECTOR3117394
HALPRIN, GABRIELLE BAILLEUXCHIEF FINANCIAL OPERATIONS OFFICER (FINOP)5087341
JOHNSON, RUSSELL ALANDIRECTOR2785704
KUCERA, DAVID JOHNDIRECTOR2598213
MULLIGAN, ROBERTCHIEF COMPLIANCE OFFICER1584973
NAKAMURA, SEIJI PETERDIRECTOR2561992
PORPHY, JEFFREY RDIRECTOR4107535
TULIP, STEVEN ANDREWPRESIDENT AND DIRECTOR2540149

Disclosures

Regulatory Event3

Red Flags

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Company Information

CAPITAL ONE SECURITIES, INC.

CRD#: 44158Charlotte, NC 28203

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