Shannon L. Mcinerney
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 Lynn Mcinerney, who also goes by Shannon Lynn Hiz, Shannon Lynn Jenkins, Shannon Lynn Knuth, Shannon L Mcinerney, Shannon Lynn Mcinerney, Shannon Mcinerney, Shannon Lynn Wright, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2010. Shannon had worked at 3 firms and has passed the Series 66, Series 63, SIE 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
May 5, 2023 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 1, 2023 - September 4, 2023
TD AMERITRADE, INC.
February 21, 2023 - May 17, 2024
CHARLES SCHWAB & CO., INC.
February 20, 2023 - May 17, 2024
CHARLES SCHWAB & CO., INC.
April 1, 2019 - February 20, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 13, 2016 - December 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 13, 2016 - October 14, 2022
TD AMERITRADE, INC.
September 30, 2016 - February 20, 2023
TD AMERITRADE, INC.
May 31, 2010 - July 8, 2016
TD AMERITRADE, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
