Shana C. Estes
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.
Shana Colleen Estes, who also goes by Shana Colleen Couch, Shana Colleen Trott, was a registered financial professional .
Shana is a previously registered financial professional and started their career in finance in 2005. Shana had worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2017 - April 13, 2018
SAXONY CAPITAL MANAGEMENT, LLC
September 7, 2017 - April 13, 2018
SAXONY SECURITIES, INC.
May 27, 2014 - August 1, 2017
TD AMERITRADE, INC.
April 22, 2006 - October 11, 2011
TD AMERITRADE, INC.
June 17, 2005 - April 22, 2006
TD AMERITRADE CLEARING, INC.
Primary Firm SEC Registration
SAXONY CAPITAL MANAGEMENT, LLC
CRD#: 122692 / SEC#: 801-68385
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SAXONY CAPITAL MANAGEMENT, LLC
CRD#: 122692 / SEC#: 801-68385
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,488 |
| AUM (Assets Under Management) | $ 367,861,457 |
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.
