SS
Shannon F. Smith
INTRUA FINANCIAL
Brookfield, WI 53045
Some features on this profile are disabled
CRD#: 5079725
SS
Professional summary
Shannon Ferrell Smith, who also goes by Shannon F Smith, Shannon Smith, is a registered financial advisor currently at INTRUA FINANCIAL located in Brookfield, Wisconsin and LPL FINANCIAL LLC located in Brookfield, Wisconsin.
Shannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Shannon has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shannon F Smith | Shannon Smith
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.
1) 05/27/2014 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - FREEDOM WEALTH ALLIANCE - BROOKFIELD, WI. 2) 07/15/2014 - NOTARY PUBLIC - TIME SPENT 10 HOURS PER MONTH - BROOKFIELD, WI. 3) 09/11/2015 - Windy City Financial Partners - Non-Variable Insurance - INV REL - AT REPORTED BUSINES LOCATION(S) - START 07/01/2015 - 2 HRS/MO DURING SECS TRDG HRS. 4) 05/15/2019 - No business name - Investment related - 675 N Barker Rd, Suite 220, Brookfield, WI 53045 - Real Estate Rental - start date:01/17/2019 - 1 hr/mo - 0 hrs during trading. 5) 10/16/2023 - Smithshire Realty LLC - Investment Related - Greensboro, NC - Real Estate Rental - Managing Member - Started 05/21/2019 - 3 Hours Per Month/0 Hours During Securities Trading. 6) 11/21/2023: Intrua Financial LLC; At reported business location(s); Registered Investment Advisor; IAR; Inv. related; start date 10/1/2023; 100hrs/mo.; 5hrs during trading; I provide investment advisory services through Intrua Financial LLC, an independent investment advisor firm. I started this business activity in 11/2023. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7) 01/26/2024 - Intrua Financial LLC DBA Freedom Wealth Alliance - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started: 10/1/2023 - 150 Hrs/mo; 6 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Shannon Ferrell Smith's 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®
NoneExperience
Current
November 13, 2023 - Present
INTRUA FINANCIAL
Office #1: 675 North Barker Road Suite 220, Brookfield, WI 53045RIA
CRD#: 281554
Brookfield, WI
Current
May 14, 2014 - Present
LPL FINANCIAL LLC
Office #1: 675 N. Barker Road Ste. 220, Brookfield, WI 53045RIA
BD
CRD#: 6413
Brookfield, WI
Past
December 1, 2017 - October 8, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
BROOKFIELD, WI
Past
May 16, 2014 - December 12, 2023
FREEDOM WEALTH ALLIANCE
RIA
CRD#: 170456
BROOKFIELD, WI
Past
January 4, 2011 - May 16, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
BROOKFIELD, WI
Past
January 4, 2011 - May 16, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
BROOKFIELD, WI
Past
June 1, 2009 - January 12, 2011
MORGAN STANLEY
RIA
CRD#: 149777
WAUWATOSA, WI
Past
June 1, 2009 - January 12, 2011
MORGAN STANLEY
BD
CRD#: 149777
WAUWATOSA, WI
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
WAUWATOSA, WI
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
WAUWATOSA, WI
Past
April 13, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WAUWATOSA, WI
Past
February 17, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
WAUWATOSA, 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".
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
Registered Investment Advisory firm - (10/23/2015 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/19/2021)
RR
California(5/15/2014)
RR
Florida(5/16/2014)
RR
Illinois(11/9/2020)
RR
Kentucky(4/26/2019)
RR
Louisiana(6/4/2021)
RR
Michigan(10/14/2020)
RR
Minnesota(11/4/2024)
RR
Missouri(11/25/2015)
RR
North Carolina(11/1/2018)
RR
Pennsylvania(4/18/2023)
RR
Texas(7/10/2018)
IAR
Texas(11/29/2023)
RR
Wisconsin(5/14/2014)
IAR
Wisconsin(11/13/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
Registered Investment Advisory firm - (10/23/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3737 Buffalo Speedway Suite 400, Houston, TX 77098
Mailing Address
Phone number
(713) 355-9910
Established
Firm type
Fiscal year end
# of Employees
48
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,051 |
| AUM (Assets Under Management) | $ 1,212,765,982 |
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
INTRUA FINANCIAL
CRD#: 281554Brookfield, WI 53045TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
