Shannon L. Vincent
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 Leslie Vincent, who also goes by Shannon Leslie VIncent Mr., Shannon Vincent, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2007. Shannon had worked at 2 firms and has passed the Series 66 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
November 5, 2008 - December 1, 2022
FV ASSET MANAGEMENT INC.
October 4, 2007 - October 31, 2008
MML INVESTORS SERVICES, LLC
August 27, 2007 - October 31, 2008
MML INVESTORS SERVICES, LLC
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
FV ASSET MANAGEMENT INC.
CRD#: 148302 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 42 |
| AUM (Assets Under Management) | $ 39,600,000 |
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.
