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SD

Shannon E. Dwyer

Some features on this profile are disabled
CRD#: 4882513
SD

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 Elizabeth Dwyer, who also goes by Shannon Elizabeth Brown, Shannon Brown, Shannon Elizabet Dwyer, Shannon Elizabeth Dwyer Ms., Shannon Dwyer, was a registered financial professional .

Shannon is a previously registered financial professional and started their career in finance in 2005. Shannon had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shannon Elizabeth Brown | Shannon Brown | Shannon Elizabet Dwyer | Shannon Elizabeth Dwyer Ms. | Shannon Dwyer

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 13, 2019 - December 4, 2020

REDBLACK ADVISERS, INC.

RIA
CRD#: 151692
Pewaukee, WI
Past

November 30, 2015 - August 22, 2016

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
Milwaukee, WI
Past

November 25, 2015 - August 22, 2016

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Milwaukee, WI
Past

February 7, 2008 - December 2, 2013

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
MENOMONEE FALLS, WI
Past

April 11, 2005 - December 2, 2013

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
MENOMONEE FALLS, WI
Past

January 1, 2005 - April 11, 2005

STRONG INVESTMENTS, INC.

BD
CRD#: 15658
MENOMONEE FALLS, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RA
REDBLACK ADVISERS, INC.
INTELLIFLO ADVISERS, INC BY INVESCO | REDBLACK ADVISERS, INC. | JEMSTEP, INC. | INTELLIFLO ADVISERS, INC.

CRD#: 151692 / SEC#: 801-70734

RIA
Registered Investment Advisory firm - (10/30/2009 Approved)

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

State Security Law Exam
IAR
Series 65
Date: 2/4/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/5/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/22/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/2010
General Securities Principal Examination

Current Firm

RA
REDBLACK ADVISERS, INC.
INTELLIFLO ADVISERS, INC BY INVESCO | REDBLACK ADVISERS, INC. | JEMSTEP, INC. | INTELLIFLO ADVISERS, INC.

CRD#: 151692 / SEC#: 801-70734

RIA
Registered Investment Advisory firm - (10/30/2009 Approved)
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Contact information

Main Address
1331 Spring Street Nw Suite 2500, Atlanta, GA 30309
Mailing Address
Phone number
(800) 607-3340
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (3 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

INTELLIFLO ADVISERS, INC. BROCHURE, PART 2A (10/7/2025)

Regulatory assets under management

Total Number of Accounts548
AUM (Assets Under Management)$ 124,011,466

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

REDBLACK ADVISERS, INC.

CRD#: 151692

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