Shannon M. Willems

ALLIANCEBERNSTEIN L.P.

HOUSTON, TX 77002

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CRD#: 5320150

Professional summary

Shannon Michael Willems, who also goes by Shannon Willems, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Houston, Texas and SANFORD C. BERNSTEIN & CO., LLC located in Houston, Texas.

Shannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Shannon has worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shannon Willems

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Michael Willems's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 17, 2015 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 800 Capitol Street Suite 3550, Houston, TX 77002

RIA

CRD#: 108477

HOUSTON, TX

Current

January 27, 2015 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 800 Capitol Street Suite 3550, Houston, TX 77002

RIA

CRD#: 104474

Houston, TX

Past

May 14, 2009 - May 20, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

ENFIELD, CT

Past

October 19, 2007 - May 20, 2010

MML DISTRIBUTORS, LLC

CRD#: 38030

ENFIELD, CT

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".

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 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.

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

Arizona
(4/27/2023)

California
(4/5/2019)

Colorado
(9/11/2025)

Florida
(4/19/2023)

IAR

Florida
(5/16/2023)

Illinois
(7/28/2025)

Kansas
(1/4/2021)

Louisiana
(7/20/2018)

Maryland
(10/14/2020)

Massachusetts
(2/7/2022)

New Mexico
(1/9/2018)

North Carolina
(1/6/2025)

Ohio
(12/23/2015)

Oklahoma
(9/4/2019)

Oregon
(3/1/2022)

Pennsylvania
(9/11/2025)

South Carolina
(5/11/2022)

Tennessee
(2/25/2022)

Texas
(2/17/2015)

IAR

Texas
(2/17/2015)

Washington
(3/18/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/13/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/20/2015

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/27/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/18/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/19/2007

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 Approved)

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Contact information

Main Address

501 Commerce Street, Nashville, TN 37203

Mailing Address

Phone number

(615) 622-0000

Established

Firm type

Fiscal year end

# of Employees

3,994

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT FORM ADV BROCHURE (3/28/2025)

INSTITUTIONAL FORM ADV BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	68,593
AUM (Assets Under Management)	$ 709,162,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Shannon M. Willems

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Michael Willems's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

MML INVESTORS SERVICES, LLC

MML DISTRIBUTORS, LLC

Primary Firm SEC Registration

ALLIANCEBERNSTEIN L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/13/2015

SIE

Date: 10/1/2018

Series 31

Date: 2/20/2015

Series 7

Date: 1/27/2015

Series 6

Date: 10/18/2007

Series 26

Date: 12/19/2007

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLIANCEBERNSTEIN L.P.

TRUST BUT VERIFY

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