Shannon C. Monk
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 Cherri Monk, who also goes by Shannon Cherri Camp, Shannon Camp, Shannon Monk, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2007. Shannon had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 4 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
December 23, 2014 - September 7, 2016
E*TRADE SECURITIES LLC
December 16, 2014 - September 7, 2016
HARRISDIRECT LLC
February 24, 2014 - December 5, 2014
SUMMIT FINANCIAL GROUP INC
February 18, 2014 - December 5, 2014
SUMMIT BROKERAGE SERVICES, INC.
August 8, 2012 - February 28, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
August 7, 2012 - February 28, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
September 7, 2011 - March 6, 2012
TRADESTATION SECURITIES, INC.
May 25, 2011 - August 26, 2011
EDELMAN FINANCIAL SERVICES, LLC
April 8, 2011 - August 26, 2011
SANDERS MORRIS LLC
June 11, 2009 - March 30, 2011
FIFTH THIRD SECURITIES, INC.
June 2, 2009 - March 30, 2011
FIFTH THIRD SECURITIES, INC.
November 19, 2008 - March 18, 2009
CITIGROUP GLOBAL MARKETS INC.
October 31, 2008 - March 18, 2009
CITIGROUP GLOBAL MARKETS INC.
May 24, 2007 - November 3, 2008
T. ROWE PRICE INVESTMENT 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
E*TRADE SECURITIES LLC
CRD#: 29106 / SEC#: , 8-44112
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ADRIEN, JACQUES C | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 2996942 |
| FINN, JED | MANAGER | 5658048 |
| GREANEY, BRIAN JOSEPH | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 3274607 |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER | 4928947 |
| HENNESSY, MICHAEL S | MANAGER | 1988660 |
| JANOVER, JAMES T | MANAGER | 2818307 |
| TURNER, CHAD EDWARD | PRESIDENT AND CHIEF EXECUTIVE OFFICER,MANAGER | 6009808 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 139 |
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.
