Rosemary E. Shannon
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.
Rosemary Eleanor Shannon, who also goes by Rose Mary Eleanor Shannon, Rose Mary Eleanor Spinelli, was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 1978. Rosemary had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1999 - October 1, 1999
INTERFIRST CAPITAL CORPORATION
July 23, 1991 - September 30, 1999
W.J. GALLAGHER & COMPANY, INC.
June 17, 1991 - June 21, 1991
W.J. GALLAGHER & COMPANY, INC.
January 28, 1988 - September 22, 1992
GLIKSMAN SECURITIES CORP.
August 11, 1980 - February 8, 1988
WEDBUSH SECURITIES INC.
September 26, 1978 - September 25, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 30, 1978 - September 12, 1978
MORGAN STANLEY DW INC.
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
INTERFIRST CAPITAL CORPORATION
CRD#: 7659 / SEC#: , 8-22805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MHK INVESTMENT CORPORATION | HOLDING COMPANY | |
| PHILLIPS, BRADFORD ASHLEY | CHAIRMAN, PRESIDENT AND CEO | 1730426 |
| ROGERS, KENNETH WALTER | EXECUTIVE VICE PRESIDENT SALES, DIRECTOR | 500255 |
| ROGERS, PAULA ANDREA | FINANCIAL AND OPERATIONS PRINCIPAL | 2167864 |
| TENNEY, LOUIS RUSSELL | SROP | 1032315 |
| TENNEY, LOUIS RUSSELL | MUNICIPAL BOND PRINCIPAL | 1032315 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
