John Shannon
Professional Summary
John Shannon, who also goes by John Kenneth Shannon Jr, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Kenneth Shannon Jr
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
2 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
FREEDOM CAPITAL MARKETS | SILVERMAN BROTHERS, INC. | PRIME EXECUTIONS, INC. | FREEDOM STRATEGIC SOLUTIONS
Contact Information
Main Address
40 Wall Street - 58th Floor, New York, NY 10005Mailing Address
40 Wall Street - 58th Floor, New York, NY 10005Phone Number
(212) 980-4400Established
Delaware since 11/12/1987Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (36 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jul 2024About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Shannon's CRS (Customer Relationship Summary).
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