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Shannan Simmons

PINEBRIDGE SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 5784570
SS

Professional summary

Shannan Simmons, who also goes by Shannan Marie Simmons, Shannan Marie Wright, Shannan Wright, is a registered financial professional currently at PINEBRIDGE SECURITIES LLC located in New York, New York.

Shannan is registered as a RR (Registered Representative) and started their career in finance in 2010. Shannan has worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shannan Marie Simmons | Shannan Marie Wright | Shannan Wright

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) - BD

Click below to view Shannan Simmons'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

June 11, 2020 - Present

PINEBRIDGE SECURITIES LLC

Office #1: 65 East 55th Street Park Avenue Tower, New York, NY 10022
BD
CRD#: 5967
New York, NY
Past

January 13, 2017 - April 2, 2020

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

June 15, 2010 - December 21, 2016

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
Tampa, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Alabama
(6/11/2020)
RR
Alaska
(6/11/2020)
RR
Arizona
(6/11/2020)
RR
Arkansas
(6/11/2020)
RR
California
(6/11/2020)
RR
Colorado
(6/11/2020)
RR
Connecticut
(6/11/2020)
RR
Delaware
(6/11/2020)
RR
District of Columbia
(6/11/2020)
RR
Florida
(6/11/2020)
RR
Georgia
(6/11/2020)
RR
Hawaii
(6/11/2020)
RR
Idaho
(6/11/2020)
RR
Illinois
(6/11/2020)
RR
Indiana
(6/11/2020)
RR
Iowa
(6/11/2020)
RR
Kansas
(6/11/2020)
RR
Kentucky
(6/11/2020)
RR
Louisiana
(6/11/2020)
RR
Maine
(6/11/2020)
RR
Maryland
(6/11/2020)
RR
Massachusetts
(6/11/2020)
RR
Michigan
(6/11/2020)
RR
Minnesota
(6/11/2020)
RR
Mississippi
(6/11/2020)
RR
Missouri
(6/11/2020)
RR
Montana
(6/11/2020)
RR
Nebraska
(6/11/2020)
RR
Nevada
(6/11/2020)
RR
New Hampshire
(6/11/2020)
RR
New Jersey
(6/11/2020)
RR
New Mexico
(6/11/2020)
RR
New York
(6/11/2020)
RR
North Carolina
(6/11/2020)
RR
North Dakota
(6/11/2020)
RR
Ohio
(6/12/2020)
RR
Oklahoma
(6/11/2020)
RR
Oregon
(6/11/2020)
RR
Pennsylvania
(6/11/2020)
RR
Puerto Rico
(6/11/2020)
RR
Rhode Island
(6/11/2020)
RR
South Carolina
(6/11/2020)
RR
South Dakota
(6/11/2020)
RR
Tennessee
(6/11/2020)
RR
Texas
(6/11/2020)
RR
Utah
(6/11/2020)
RR
Vermont
(6/11/2020)
RR
Virginia
(6/11/2020)
RR
Washington
(6/11/2020)
RR
West Virginia
(6/11/2020)
RR
Wisconsin
(6/11/2020)
RR
Wyoming
(6/11/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 9/14/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/23/2015
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/14/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PINEBRIDGE SECURITIES LLC
AIG EQUITY SALES CORP. | PINEBRIDGE SECURITIES LLC | AMERICAN INTERNATIONAL FUND DISTRIBUTORS, INC.

CRD#: 5967 / SEC#: , 8-16586

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
65 East 55th Street Park Avenue Tower, New York, NY 10022
Mailing Address
65 East 55th Street Park Avenue Tower, New York, NY 10022
Phone number
(646) 857-8132
Established
Delaware since 10/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PINEBRIDGE INVESTMENTS HOLDINGS US LLCSHAREHOLDER
KARPIK, MICHAEL JOHNDIRECTOR1709305
MORELLI, BRIAN RCHIEF COMPLIANCE OFFICER7366072
RAMIREZ, SERGIO DANIELDIRECTOR AND PRESIDENT4637204
RUSSO, WILLIAMTREASURER6239019

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.

Company Information

PINEBRIDGE SECURITIES LLC

CRD#: 5967New York, NY 10022

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