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Shannon M. Cornell

YELLOW CARDINAL CORPORATE FINANCE | Financial Advisor
Cincinnati, OH 45202
CRD#: 4746478
Some features on this profile are disabled
SC
Shannon Marie CornellYELLOW CARDINAL CORPORATE FINANCE

Professional summary

Shannon Marie Cornell, who also goes by Shannon Marie Peffly, is a registered financial professional currently at YELLOW CARDINAL CORPORATE FINANCE, LLC located in Cincinnati, Ohio.

Shannon is registered as a RR (Registered Representative) and started their career in finance in 2004. Shannon has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shannon Marie Peffly

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 Shannon Marie Cornell'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

May 25, 2023 - Present

YELLOW CARDINAL CORPORATE FINANCE, LLC

Office #1: 255 E Fifth Street, Suite 700, Cincinnati, OH 45202Office #2: 300 High Street, Suite 700, Hamilton, OH 45011Office #3: 1215 Superior Ave, Cleveland, OH 44114Office #4: 300 High Street, Suite 700, Hamilton, OH 45011
BD
CRD#: 135111
Cincinnati, OH
Past

June 30, 2004 - September 18, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
WEST CHESTER, OH
Past

March 25, 2004 - July 15, 2004

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(5/25/2023)
RR
Indiana
(9/25/2023)
RR
Iowa
(5/6/2026)
RR
Kentucky
(5/25/2023)
RR
Michigan
(5/1/2026)
RR
Nevada
(2/29/2024)
RR
Ohio
(9/25/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/26/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/24/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/9/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

YC
YELLOW CARDINAL CORPORATE FINANCE, LLC
BRADY WARE CORPORATE FINANCE, LLC | YELLOW CARDINAL CORPORATE FINANCE, LLC

CRD#: 135111 / SEC#: , 8-66894

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Loading...

Contact information

Main Address
9120 Union Centre Blvd Suite 200, West Chester, OH 45069
Mailing Address
9120 Union Centre Blvd Suite 200, West Chester, OH 45069
Phone number
(513) 603-4046
Established
Ohio since 02/08/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST FINANCIAL BANCORPOWNER
CORNELL, SHANNON MARIEPRESIDENT AND CCO4746478
GMEINER, THOMAS JUDEFINOP5209167
WARNER, KEITH ANDREWAMLCO5130011

Disclosures

Regulatory Event1

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

YELLOW CARDINAL CORPORATE FINANCE, LLC

Financial AdvisorCRD#: 135111Cincinnati, OH 45202

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Contact information

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