Shannon N. Smith

PALLAS CAPITAL ADVISORS

Braintree, MA 02184

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CRD#: 5393934

Professional summary

Shannon Nicole Smith, CFP®, who also goes by Shannon Smith, is a registered financial advisor currently at PALLAS CAPITAL ADVISORS, LLC located in Braintree, Massachusetts and PURSHE KAPLAN STERLING INVESTMENTS located in Wakefield, Massachusetts.

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 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shannon Smith

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.

1) Pallas Capital Advisors; Investment Related; 45 Braintree Hill Office Park, Suite 201, Braintree, MA 02184; Wealth Advisors; Title - Director of Financial Planning & Client Experience; Start - 5/2021; 200 Hrs/Mth; 200 During Trading Hours; Relationship Management & Financial Planning

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Nicole Smith'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

May 25, 2021 - Present

PALLAS CAPITAL ADVISORS, LLC

Office #1: 45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

RIA

CRD#: 310327

Braintree, MA

Current

May 14, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 701 Edgewater Drive Suite 140, Wakefield, MA 01880

CRD#: 35747

Wakefield, MA

Past

May 19, 2021 - June 1, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WELLESLEY, MA

Past

November 15, 2007 - June 1, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WELLESLEY, MA

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".

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 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

Massachusetts
(5/14/2021)

IAR

Massachusetts
(5/25/2021)

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: 4/24/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

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Contact information

Main Address

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

Mailing Address

Phone number

(781) 971-5052

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PALLAS DISCLOSURE BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	3,780
AUM (Assets Under Management)	$ 3,195,166,308

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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Advisor Monitoring

Firm Stability Insights

Shannon N. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Nicole Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

PALLAS CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/24/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2007

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PALLAS CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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