Shannon J. Mcglocklin
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 Jay Mcglocklin, who also goes by Shannon Mcglocklin, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2010. Shannon had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2023 - March 22, 2024
LION STREET FINANCIAL, LLC
July 5, 2022 - July 6, 2023
LPL FINANCIAL LLC
September 20, 2021 - May 17, 2022
PRUCO SECURITIES, LLC.
September 7, 2018 - September 20, 2021
MML INVESTORS SERVICES, LLC
January 5, 2016 - August 8, 2018
LPL FINANCIAL LLC
March 17, 2010 - January 6, 2016
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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