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SP

Shane E. Phillips

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CRD#: 5840539
SP

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.

Shane Erin Phillips, who also goes by Shane Phillips, was a registered financial professional .

Shane is a previously registered financial professional and started their career in finance in 2010. Shane had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shane Phillips

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 13, 2019 - May 6, 2020

PARSONEX CAPITAL MARKETS, LLC

BD
CRD#: 169578
Englewood, CO
Past

July 30, 2012 - December 15, 2014

WAKEFIELD ASSET MANAGEMENT, LLLP

RIA
CRD#: 143720
ENGLEWOOD, CO
Past

November 25, 2010 - March 14, 2012

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
DENVER, CO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/27/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/13/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/13/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/7/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/24/2010
General Securities Representative Examination

Current Firm

PC
PARSONEX CAPITAL MARKETS, LLC
AVERE FINANCIAL GROUP, LLC | PARSONEX CAPITAL MARKETS, LLC

CRD#: 169578 / SEC#: , 8-69377

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

Main Address
8310 S. Valley Highway, Ste. 110, Englewood, CO 80112
Mailing Address
8310 S. Valley Highway, Ste. 110, Englewood, CO 80112
Phone number
(720) 767-2348
Established
Delaware since 05/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 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#
PARSONEX ENTERPRISES, INC.MEMBER
APEX INTEGRATED CAPITAL, LLC.MEMBER
DIAMOS, ANTHONY SOLONFINOP / CFO / PRINCIPAL FINANCIAL OFFICER/ PRINCIPAL OPERATIONS OFFICER4872899
MILLER, JONATHAN EDWARDPRINCIPAL4153196
NEUSTROM, BRIAN WILLIAMCHIEF COMPLIANCE OFFICER5530526

Disclosures

Regulatory Event1

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

PARSONEX CAPITAL MARKETS, LLC

CRD#: 169578

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