Shannon J. Blount
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 James Blount, who also goes by Shannon J Blount, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2006. Shannon had worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - August 16, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - September 9, 2015
EDWARD JONES
August 1, 2012 - September 9, 2015
EDWARD JONES
April 18, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
April 20, 2010 - April 18, 2012
M&I INVESTMENT MANAGEMENT CORP.
April 15, 2010 - August 16, 2012
M&I FINANCIAL ADVISORS, INC
March 11, 2009 - March 18, 2010
CHASE INVESTMENT SERVICES CORP.
March 11, 2009 - March 18, 2010
CHASE INVESTMENT SERVICES CORP.
October 6, 2006 - March 17, 2009
UBS FINANCIAL SERVICES INC.
September 20, 2006 - March 17, 2009
UBS FINANCIAL SERVICES 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
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
