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JS

John Shannon

PRIME EXECUTIONS
New York, NY 10005
Some features on this profile are disabled
CRD#: 4822341
JS

Professional summary

John Shannon, who also goes by John Kenneth Shannon Jr, is a registered financial professional currently at PRIME EXECUTIONS, INC. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2024. John has worked at 1 firm and has passed the Series 79TO exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Kenneth Shannon Jr

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 John Shannon's CRS (Customer Relationship Summary).
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

July 25, 2024 - Present

PRIME EXECUTIONS, INC.

Office #1: 40 Wall Street - 58th Floor, New York, NY 10005
BD
CRD#: 32889
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
Series 79TO
Date: 7/24/2024
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PE
PRIME EXECUTIONS, INC.
FREEDOM CAPITAL MARKETS | SILVERMAN BROTHERS, INC. | PRIME EXECUTIONS, INC. | FREEDOM STRATEGIC SOLUTIONS

CRD#: 32889 / SEC#: , 8-43985

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

Main Address
40 Wall Street - 58th Floor, New York, NY 10005
Mailing Address
40 Wall Street - 58th Floor, New York, NY 10005
Phone number
(212) 980-4400
Established
Delaware since 11/12/1987
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FREEDOM HOLDING CORP.HOLDING COMPANY
AGUIAR, ALBERTINTERIM CEO2947566
CARON, WAYNE ROGERCCO1422911
CHASKIN, DAVID RCFO, FINOP, POO, PFO5306238

Disclosures

Regulatory Event2

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

PRIME EXECUTIONS, INC.

CRD#: 32889New York, NY 10005

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